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Regular or Temporary:

Regular

Language Fluency:  English (Required)

Work Shift:

1st shift (United States of America)

Please review the following job description:

Responsible for serving as a subject matter expert directing and executing Ethics and Conduct Risk governance, oversight and monitoring activities for assigned business units or functions in compliance with the Enterprise Compliance Risk Management Policy and Framework and other applicable policies and procedures. Partners with leaders across first and second lines of defense to support effective design, implementation and ongoing adherence to Ethics and Conduct Risk program requirements. Supports Ethics and Conduct Risk senior leadership by participating in assigned interdepartmental initiatives and Compliance-wide activities.

This role applies to skills associated with all aligned Ethics and Conduct Risk programs which could include, but is not limited to, Code of Ethics governance operations, teammate concerns and investigations, sales practices oversight, incentive compensation oversight, and other risk oversight functions.

ESSENTIAL DUTIES AND RESPONSIBILITIES
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.
1. Assist in the development and implementation of policies, procedures, and technical solutions aligned to assigned Ethics & Conduct Risk programs; support methodology requirements to help ensure risks are identified consistently and quantifiably across the enterprise.
2. Execute oversight and monitoring routines in alignment with applicable standards; review process documentation to evaluate adequacy and effectiveness and compile findings for leadership.
3. Provide analytical and operational support for working group and committee reporting packages, senior leadership presentations, and enterprise-wide ethical communications and training materials.
4. Interpret and apply complex laws, rules, and regulations to communicate requirements and expectations to assigned areas of responsibility.
5. Analyze existing policies, procedures, and controls to identify gaps; assist in implementing compliance initiatives to address deficiencies.
6. Compile and prepare Risk Committee materials, including program effectiveness evaluations, risk trends, and status updates on previously identified issues.
7. Support communication with management and regulators regarding Ethics and Conduct risk management activities and regulatory examinations.
8. Assist in implementing strategies and methods related to the compliance risk management framework, including reviews, assessments, key risk indicators, and mitigation strategies.
9. Monitor and analyze data and LOB reporting, identifying trends or areas of risk exposure and preparing aggregated reporting for leadership.
10. Collaborate with business units and stakeholders to support remediation efforts from internal reviews, audits, and regulatory examinations, ensuring timely and effective resolution.

Qualifications
Required Qualifications
The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodation may be made to enable individuals with disabilities to perform the essential functions.
1. Bachelor’s degree Bn business, Economics, Finance, Accounting, or related field, or an equivalent combination of education and experience.
2. Eight (8) years of financial industry experience, including extensive compliance, ethics, conduct risk management, and leadership experience within large, complex organizations.
3. Five (5) years of direct ex