Vp amp Deputy General Counsel Compliance amp Ethics

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VP & Deputy General Counsel, Compliance & Ethics
The candidate will serve as the Chief Compliance and Ethics Officer for the corporation and enhances the design and execution of strategic and tactical programs to further reduce and manage the risk of violating laws and regulations applicable to the firm, and ensures that the Board of Directors, management and employees understand and adhere to the firm's Code of Business Conduct. Oversee establishment, implementation, and periodic reassessment of company-wide compliance standards and policies, as well as the firm's compliance culture. Lead annual compliance risk assessments to evaluate compliance risks, mitigating measures, and opportunities for improvement. Maintain awareness of evolving regulatory standards and external developments relevant to the firm's compliance risks and controls. Support the development and implementation of business-led compliance programs and controls. Oversee the design and implementation of company-wide compliance training and certifications, and supporting the development and delivery of role-based compliance training. Coordinate with the firm Audit Services, designing and implementing monitoring and assurance activities to validate the effectiveness of compliance controls. Oversee post-incident assessments following significant compliance and ethics incidents to identify opportunities for improvement. Oversee the design and implementation of compliance programs directly managed by the Compliance & Ethics function, including compliance with policies relating to interactions with public officials and privacy. Coordinate with other functions, including Legal, the NERC compliance team, CISS, and IT to support NERC and cybersecurity compliance. Oversee, jointly with EAS, the firm's anti-fraud program. Implement and enforce the firm's Code of Business Conduct, including through conducting and overseeing investigations. Report to executive management, the firm's Board of Directors and its committees, and as appropriate the Boards of Directors of the firm's operating companies, regarding the operation of the compliance program, significant compliance incidents, developments, and trends, and opportunities for improvement. Provide counsel to senior leaders, directors, and employees regarding compliance and ethics issues. Select, direct, develop, coach, and evaluate staff to ensure the efficient operation of the department. An LLB or J.D. from an accredited law school is required. Should have 15+ years of professional or other experience relevant to management of ethics and compliance functions, including experience relevant to a range of compliance disciplines.

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