Compliance Ethics Consultant





This position sits within the Ethics Office which is part of the Compliance department. The Ethics Office is responsible for developing, overseeing and maintaining programs linked to Anti-Bribery Corruption, Internal Fraud Risk Management, Culture and Conduct and Social Policy. The group acts in an advisory capacity and as a subject matter expert providing credible challenge to in-scope first line of defense activities and performing second level controls. This role will involve supporting the strategic development and oversight/maintenance of the Social Policy program which focuses on the due diligence, assessment and escalation of clients and/or transactions that may pose heightened ethical and/or social concern. The role requires contribution to the development/enhancement and maintenance of policy and procedures and creation of training content.


  • Support and facilitate execution of the Social Policy implementation plan, which includes development of or update to policies, procedures, processes and controls.
  • Draft relevant operational procedures supporting the Ethics Office in relation to the Social Policy.
  • Work closely with the internal Communications/Marketing team to support an internal communication/awareness campaign for the Ethics & Social Policy.
  • Create a training program for relevant stakeholders that cover critical elements of the Social Policy. Key focus on KYC/AML training.
  • Develop an FAQ document to assist stakeholders with implementation and integration of Social Policy into existing firm processes.
  • Assist with other responsibilities and tasks as identified by the Chief Ethics Officer.


  • 2-5 years of experience in financial services in a Compliance, legal or risk and controls function and understanding of key financial services issues
  • Strong written and verbal communication skills, analytical skills and organizational skills
  • Expertise in Compliance program management including but not limited to experience developing and drafting policies, procedures, communications, and training content.
  • Demonstrated stakeholder managements skills, including ability to build and maintain strong relationships with a wide range of key stakeholders across business lines and functions
  • Ability to deliver high quality work product under strict deadlines
  • Ability to identify opportunities for enhancement to processes and program
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