Compliance Officer – Conduct – Ethics Guidelines and Employee Stock Trading
| Company | Everest |
|---|---|
| Location | Middlesex, NJ, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Senior, Expert or higher |
Requirements
- 4-year college degree required; insurance or risk management-related work is a plus
- At least 10 years’ experience in related positions; insurance industry or financial services broker-dealer experience a plus
- Experience managing reporting processes for possible violations to Compliance, through hotlines and other channels.
Responsibilities
- Maintaining and constantly assessing the appropriateness of the Ethics Guidelines and related policies
- Operating employee stock trading controls including pre-clearance requirements on behalf of the Chief Compliance Officer
- Managing intake and handling of all potential whistleblower situations, in collaboration with Law Department and other investigating groups
- Owning the Compliance hotline and other reporting mechanisms, and related complaint handling procedures, for possible violations of Ethics Guidelines, all other Compliance policies, and laws and regulations
- Conducting risk assessments
- Designing and implementing a testing and consultation program, prioritized by level of inherent and residual risk.
- Assessing training needs and designing and implementing risk-appropriate training.
- Maintaining awareness of emerging issues and areas of risk, working with internal legal experts and accessing outside sources of information
- Working with business, Law Department, and key support functions to resolve identified issues, respond to law enforcement, government or regulatory examinations and inquiries, and ensure that going-forward controls are effective.
- Monitor and offer input as necessary to international legal and compliance staff addressing local issues, especially as Everest expands and enters new countries.
- Key player in expansion into new geographies worldwide, to ensure that ethics risk is understood and considered before expansion is implemented.
Preferred Qualifications
- Admission to the bar and securities law experience, at a law firm or in-house, a significant plus
- Professional certifications in compliance, such as CCEP, and related to securities are a plus.
- Expert understanding of second line of defense role of Compliance desirable but not necessary.