People Search Consultant at Metaphor Infotech
Views:2204 Applications:211 Rec. Actions:Recruiter Actions:54
Vice President - Ethics & Compliance - Support Function (15-20 yrs)
Designation : VP - Ethics and Compliance (Support Function) - Diversity Role.
The candidate must have 15+ years of relevant experience gained in professional services environment (Should have worked in corporate functions role only)
Roles and responsibilities :
- Develops, initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program.
- Periodically reviews and updates the Code of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.
- Collaborates with other departments (e.g., Risk Management, Internal Audit, HR, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
- Review contracts and other legal documents with regards vendor / colleague and agreements with MF clients (e.g. NDA, Data Transfer Agreements, etc. as relevant)
- Consults with external/internal legal advisors as needed to resolve difficult legal compliance issues.
- Responsible for conducting agreed upon conformance reviews
- Responds to alleged violations of rules, regulations, policies, procedures, and Code of Conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations.
- Acts as an independent review and evaluation resource to ensure that compliance Issues/concerns are being appropriately evaluated, investigated and resolved.
- Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
- Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
- Provides reports on a regular basis, and as directed or requested, to keep the Board and senior management informed of the operation and progress of compliance efforts.
- Monitors and provides direction and management of the compliance Hotline (once made available).
- Institutes and maintains an effective compliance communication program for the organization, including promoting (a) use of the Hotline; (b) heightened awareness of Code of Conduct, and (c) understanding of new and existing compliance issues and related policies and procedures.
- Works with the Risk Management team and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
- Monitors the performance of the Compliance Program and relates activities on a continuing basis, takies appropriate steps to improve its effectiveness.
- Acts as the Single Point of Contact for the development and execution of the internal audit function (executed by India firm)
- Oversees the Enterprise Risk Management program including preparing action plans, monitoring progress of action plans and identifying new risks. Reports to the leadership team on a regular progress on progress made and any new risks identified.
- Liaise with India Risk Management team to implement policies and procedures, trainings and compliance activities. Oversee the Disciplinary Committee that is responsible to take action in cases of non-compliance with policies and procedures.
- Liaise with risk and compliance contacts in other member firms on matters relating to the organisation (and related entities).
- Responsible for the Risk Management team - allocating roles and responsibilities, reviewing work programs and evaluating findings from audits and other compliance activities.
- Communicating changes to or new policies and procedures through Alerts, Newsletters and other media.
- Sustain the firm's ISO27001:2013 initiative which would include performing internal audits and managing external assessment
- Oversight on compliance with various RM trainings / affidavits including Ethics & Independence trainings (new joiners and annual).
- Actively build and sustain professional relationships and interface with key internal and Client (Member Firm) stakeholders
- Manage the data preservation notification and collection processes
This job opening was posted long time back. It may not be active. Nor was it removed by the recruiter. Please use your discretion.