Director of Compliance & Ethics

Full Time St Louis, Missouri Posted 11/17/2021 Areas of interest: Government/Corporate Affairs, Leadership, Legal Requisition Number: 296459BR LLM720
JOB SUMMARY
This position is responsible for leading other Corporate Compliance & Ethics team resources. Designs and executes the operations and processes of the Charter Corporate Compliance & Ethics Program (the “Program”). Oversees the intake, classification and assignment of hotline investigations; monitors the completion and outcomes of investigations; and drives continuous improvement of the hotline and investigation processes. Assists with carrying out strategic initiatives of the Compliance & Ethics Program. Understand and apply relevant guidance (e.g., Department of Justice, Elements of an Effective Compliance Program, Federal Sentencing Guidelines).

MAJOR DUTIES AND RESPONSIBILITIES
  • Bring a mindset of continuous improvement to the Program that constantly strives to achieve the elements of an effective compliance program. Actively and consistently identify opportunities and support all efforts to simplify and enhance the processes, procedures and customer experience of the Compliance Program and the Corporate Compliance team. Proactively monitor developments and changes to applicable guidance (e.g., DOJ) and apply to operations and strategy of the Program.
  • Oversee all aspects of the Company’s compliance hotline, including intake, assessing, classifying, and assigning all incoming complaints; monitoring complaint resolution and recommending corrective measures as needed. Analyze hotline data, trends to identify potential risks and determining potential corrective actions to improve company activities, culture and risk mitigating activities. Participate in identifying long-term automated reporting solution.
  • Develop positive, collaborative working relationships with all level of leadership, business partners and investigation teams.
  • Recommend and implement strategic solutions or provides feedback which impacts decisions pertaining to compliance and/or ethics matters which may have an impact on the organization or its approach.
  • Facilitate the coordination and performance of Quality Assessment Reviews of hotline investigations and periodic auditing of hotline data.
  • Research and update existing policies and potential development and roll out of new compliance-related policies and trainings. May lead or partner in training Charter personnel on a periodic basis on compliance, how to conduct investigations, and related compliance topics.
  • Execute the Corporate Compliance communication plan and increasing awareness of the Compliance Program including, regular communications with investigation teams, periodic communications with Business Units, etc.
  • Assist in preparing reporting and providing updates to the General Counsel, Compliance team, Compliance Committees and the Audit Committee.
  • Assist in managing the annual Code of Conduct, Conflict of Interest Certification & Disclosure processes as well as review, update, developing of additional training courses. Evaluate the effectiveness of training courses.
  • Perform other duties as assigned.

REQUIRED QUALIFICATIONS
Skills/Abilities and Knowledge
  • Ability to read, write, speak and understand English
  • Strong communication, leadership, management and relationship building skills
  • Strong analytical, organizational, critical thinking and problem solving skills
  • Strong skills in Excel, pivot tables, analytics, charts and graphs, and PowerPoint
  • Ability to focus on strategies which will positively affect the organization
  • Ability to analyze data and develop and present data driven reports
  • Ability to document, prepare and present executive level presentations
  • Ability to show judgment and initiative and to accomplish job duties
  • Ability to work independently
  • Ability to work with others to resolve problems, handle requests or situations

Education
Bachelor’s degree or equivalent experience
Master’s degree or MBA degree preferred
Relevant certifications (CCEP, CPA, etc.) preferred

Related Work Experience
7+ years experience working within corporate compliance, other second or third line-of-defense programs, or similar programs preferred
5+ years management experience
Compliance, risk, accounting or legal education and experience preferred

WORKING CONDITIONS
Office environment
Travel as required



LLM720 296459 296459BR

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