VP Chief Compliance Officer / Top Compliance Executive

Role summary

As the Compliance Function head, is responsible for designing, implementing, and enforcing a corporate compliance and ethics strategy and program that is effective in preventing and identifying criminal misconduct or other violations of regulations or company policy. Consistent with the US Sentencing Commission Guidelines, responsible for ensuring that the organization has a comprehensive understanding of its obligations under, statutes, regulations and other requirements and that policies, systems and processes are implemented to ensure a state of control relative to those requirements. Educates and informs the highest levels of management relative to compliance requirements and of the effectiveness of the organization’s compliance and ethics programs. Secures the resources and authority necessary for the effective implementation, monitoring and validation of compliance programs. Ensures that all the necessary data is prepared to enable valid annual certifications of compliance to be made. Serves as an advocate for the establishment of a culture of compliance and sound ethical conduct within the organization and for the provision of resources to enable confidential reporting of non-compliance. Has regular executive committee and board level exposure. In addition, has frequent interaction with agencies such as the Securities and Exchange Commission, the NYSE, NASDAQ, and other exchanges and agencies as appropriate. Requires a seasoned business executive with experience and a comprehensive understanding of the reporting and other requirements of regulations and statutes such as Sarbanes-Oxley, Patriot Act, and others, as well as financial exchange regulations. This is a single incumbent position.

Job summary sourced from the Empsight benchmark job library.