Head of Ethics and Conduct Compliance
At Vanguard, we believe in doing the right thing and holding ourselves to the highest ethical standards. As the Head of Ethics and Conduct Compliance, you will play a crucial role in upholding this belief and ensuring that our company operates with integrity and honesty. We are seeking an experienced and dedicated individual who is passionate about promoting ethical behavior and creating a culture of compliance. If you possess a strong moral compass, exceptional communication skills, and a background in ethics and compliance, we invite you to join our team and make a positive impact on our company and the financial industry as a whole.
- Develop and implement company-wide ethics and conduct compliance policies and procedures, in alignment with regulatory requirements and industry best practices.
- Monitor and assess the effectiveness of existing compliance programs and identify areas for improvement.
- Conduct regular ethics and compliance trainings for employees at all levels, ensuring that all staff are aware of their responsibilities and obligations.
- Serve as a trusted advisor to senior management and provide guidance on ethical dilemmas and potential compliance issues.
- Investigate and respond to reports of potential ethical misconduct, maintaining confidentiality and ensuring a fair and thorough process.
- Collaborate with internal stakeholders, such as legal, human resources, and internal audit, to address potential compliance risks and implement corrective actions.
- Stay informed about relevant laws, regulations, and industry trends related to ethics and conduct compliance, and make recommendations for updates to policies and procedures as necessary.
- Develop and maintain relationships with external regulators and industry organizations, representing the company's commitment to ethical behavior and compliance.
- Foster a culture of compliance and ethics by promoting open communication, accountability, and ethical decision-making throughout the organization.
- Prepare and present regular compliance reports to senior management and board of directors, highlighting key issues and recommendations for improvement.
Extensive Knowledge Of Ethical Principles And Regulatory Compliance: A Head Of Ethics And Conduct Compliance At Vanguard Must Possess A Deep Understanding Of Ethical Principles And Compliance Regulations, Including But Not Limited To Sec, Finra, And Other Industry Regulations.
Strong Leadership And Managerial Skills: As A Senior Executive, The Head Of Ethics And Conduct Compliance Must Have Excellent Leadership And Managerial Skills To Oversee A Team Of Compliance Professionals And Ensure The Department's Effective Functioning.
Experience In Developing And Implementing Compliance Programs: The Ideal Candidate Should Have A Strong Track Record Of Developing And Implementing Effective Compliance Programs, Policies, And Procedures To Ensure The Organization's Adherence To Ethical Standards And Regulatory Requirements.
Excellent Communication And Interpersonal Skills: The Role Requires Frequent Interaction With Senior Management, External Regulators, And Other Stakeholders. Therefore, The Head Of Ethics And Conduct Compliance Must Have Exceptional Communication And Interpersonal Skills To Build Relationships And Effectively Communicate Compliance-Related Matters.
Analytical And Problem-Solving Abilities: A Head Of Ethics And Conduct Compliance Must Have Strong Analytical And Problem-Solving Skills To Identify Potential Compliance Risks And Develop Strategies To Mitigate Them. They Should Also Be Able To Conduct Thorough Investigations And Make Well-Informed Decisions In Complex Situations.
Project Management
Data Analysis
Conflict Resolution
Compliance Management
Risk assessment
Policy Development
Investigation
Regulatory Knowledge
Training And Education
Reporting And Monitoring
Ethics Program Oversight
Communication
Conflict Resolution
Emotional Intelligence
Leadership
Time management
creativity
Attention to detail
Teamwork
Adaptability
Problem-Solving
According to JobzMall, the average salary range for a Head of Ethics and Conduct Compliance in Scottsdale, AZ, USA is $151,000 to $199,000 per year. However, this can vary depending on factors such as experience, education, and the specific industry of the company. Other factors that may affect salary range include the size and revenue of the company, as well as the level of responsibility and impact of the role within the organization.
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The Vanguard Group, Inc. is an American registered investment advisor based in Malvern, Pennsylvania, with about $7.7 trillion in global assets under management, as of April 2023. It is the largest provider of mutual funds and the second-largest provider of exchange-traded funds in the world after BlackRock's iShares.
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