Ethics & Compliance Job Description

Ethics & Compliance Job Description

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Ethics & compliance provides guidelines on the relevant Ethics & Compliance principles, standards and regulations in the LOC employees requests.

Ethics & Compliance Duties & Responsibilities

To write an effective ethics & compliance job description, begin by listing detailed duties, responsibilities and expectations. We have included ethics & compliance job description templates that you can modify and use.

Sample responsibilities for this position include:

Provide phone coverage, scan documents, format files in Excel, and other miscellaneous tasks
Provide phone coverage, scanning of documents, formatting files in Excel and other miscellaneous tasks
Serve as an Empowered Official pursuant to the ITAR, for the day-to-day operational compliance with all export and import laws and regulations, and certifies compliance to the Chief Compliance Officer
Work on cross-functional teams and directly with compliance owners to design, develop, implement and monitor risk-specific compliance programs (e.g., Export Controls/Trade) in accordance with applicable laws, rules and regulations
Develop strategic direction and vision to ensure successful execution of compliance programs
Support the Local Ethics Officers (LEO) within the geographic areas by providing training, consulting on specific cases, assisting with approvals, and at times serving as a LEO for a subset of the geography as needed
Design, develop and oversee implementation of short and long term training programs, including online and in-person training
Develop educational initiatives for compliance for internal and external users
Design and develop compliance training programs
Measure the overall effectiveness of the program and adjust plans as necessary to deliver results

Ethics & Compliance Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Ethics & Compliance

List any licenses or certifications required by the position: CFE, CIA, CA, SCCE, CPA, CCEP, FEMA, CHC, AEO, ERC

Education for Ethics & Compliance

Typically a job would require a certain level of education.

Employers hiring for the ethics & compliance job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Law, Education, Business, Finance, Accounting, Legal, Ethics, Business/Administration, Economics, Auditing

Skills for Ethics & Compliance

Desired skills for ethics & compliance include:

Excel
Key laws
Regulations and industry best practice standards
PowerPoint
Federal Sentencing Guidelines
Insider trading
Laws
Passion for ethical conduct and compliance principles
Related compliance program standards
U.S. Federal Sentencing Guidelines for Organizations

Desired experience for ethics & compliance includes:

Collaborate closely with Global & Regional Ethics & Compliance Associates to coordinate the global training strategy with the global communications strategy
Demonstrated ability to collect and analyze data, evaluate information and systems and prepare reports, memos, summaries and analyses of findings
Persuasive communicator and collaborator
Excellent judgement, discretion and ability to appropriately handle legal issues, privilged and confidential information, and highly sensitive documents
Experience working independently and in a team-oriented global environment is essential
Other related tasks, as needed or identified by the Partner-in-Charge of Ethics & Compliance

Ethics & Compliance Examples

1

Ethics & Compliance Job Description

Job Description Example
Our innovative and growing company is hiring for an ethics & compliance. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for ethics & compliance
  • Procedural document maintenance and creation
  • Training and education creation and delivery
  • Internal monitoring execution
  • Supporting lines of communication with stakeholders
  • Enforcing standards through investigation and publicized guidelines
  • Assessing compliance risk and implementing corrective action
  • Compliance Committee membership and participation
  • Provide general administrative support to the Ethics and Compliance Department
  • Manage the Ethics and Compliance Budget
  • Support the Transparency Program and systems by coordinating manual collection efforts
Qualifications for ethics & compliance
  • Sensitivity to multicultural dimensions and understanding of different learning and thinking styles
  • Experience with evaluating training/communication needs, and designing and developing training/communication programs
  • A Law degree from a top tier University with a minimum of 7 years of PQE is required
  • Demonstrated English language proficiency in both written and oral form required, as are excellent communication skills
  • 5+ years of pharmaceutical industry ethics and compliance experience in roles of progressive responsibility
  • Broad ethics and compliance experience within the pharmaceutical industry
2

Ethics & Compliance Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of ethics & compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for ethics & compliance
  • Coordinate the Policy Committee activities and organize policies throughout development and the policy lifecycle
  • Assist in monitoring activities as needed
  • Provide project-level support and vendor management as needed
  • Assist in ensuring investigations are conducted professionally, legally, ethically, and in a timely manner
  • Assist in the development, implementation and maintenance of MMS business unit-specific compliance policies and procedures
  • Assist in the development of and deliver MMS business unit-specific employee training
  • Assist with administering, developing and implementing other various MMS business unit-specific compliance & ethics initiatives, as needed
  • Assist with conducting periodic risk assessments within the MMS business unit
  • Compile metrics demonstrating the effectiveness of MMS’s compliance program, and prepare initial compliance reports regarding the same
  • Assist the VP and Chief Ethics & Compliance Officer with the creation of organizational strategy for assigned area of operations
Qualifications for ethics & compliance
  • Strong interpersonal and communication skills for negotiating deliverable, timelines and effective collaboration
  • Ability to build consensus and respectfully driven decision making while gaining agreement regardless of issue popularity
  • Experience in commercial role(s) and demonstrated aptitude and knowledge of the life sciences business model and commercial organization
  • Business and Project Management experience
  • AIS and Global Risk Management Standards
  • GRMS to formulate effective compliance policies and practices
3

Ethics & Compliance Job Description

Job Description Example
Our company is growing rapidly and is hiring for an ethics & compliance. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for ethics & compliance
  • Create and implement short and long-term objectives, goals, and project plans for the Ethics & Compliance department
  • Develop strategic initiatives to ensure DI maintains its standing, and avoids fines (administrative and criminal), debarment and/or suspension
  • Serve as DI’s expert in import compliance, ensuring that all Customs transactions are handled with reasonable care, regarding the classification, valuation, admissibility, and marking of merchandise entered, and the payment of Customs duties and fees
  • Promote contract-wide adherence to DI’s Code of Ethics and Business Conduct
  • Oversee development and refinement of policies, procedures, and practices
  • Pro-actively identify potential ethics/compliance risks and implement actions to mitigate and eliminate them
  • Analyze complex business, legal, and financial processes
  • Promote an ethical corporate environment through partner training and leading process/policy enhancements
  • Promote an ethical corporate environment through training and leading process/policy enhancements
  • Design and implement tools and processes for inventorying, monitoring and reporting on Compliance & Ethics program controls
Qualifications for ethics & compliance
  • Juris Doctor (or equivalent non U.S. Law degree) preferred
  • Experience in Law, Audit, Finance, or other compliance related role in a multinational organization
  • Ability to coach, guide, and advise senior leaders on complex and potentially sensitive issues
  • Ability to think practically and exercise sound judgment, balancing business needs, regulatory risks, and reputational risks in an objective, practical way
  • Ability and willingness to stand alone under pressure
  • Ability to conduct, manage and/or oversee investigations involving a wide spectrum of potentially complex and sensitive issues, including potential criminal conduct
4

Ethics & Compliance Job Description

Job Description Example
Our company is searching for experienced candidates for the position of ethics & compliance. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for ethics & compliance
  • Monitor internal information sources (e.g., risk assessments, audits, complaints) to identify and report on potential areas of compliance program vulnerability
  • Communicate compliance deficiencies to the affected business units as needed and make recommendations for remediation
  • Build and maintain a good working relationship with the business, Legal, Enterprise Risk Management, Internal Audit and various functions that have legal and regulatory compliance responsibilities
  • Assist in the development of compliance program metrics and program documentation, including guidelines, procedures and checklists
  • Support compliance and ethics education, awareness, outreach, and communication throughout the company
  • Assist in the preparation of reports on the Compliance & Ethics program
  • Independently manage special projects and develop workflows associated with assigned projects
  • Develop program documentation
  • Develops, implements, modifies and execute Affiliate local system for reporting, responding to concerns corrective actions
  • Support in the development, implementation and maintenance of policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct
Qualifications for ethics & compliance
  • Ability to manage teams and large projects, providing oversight and guidance to others
  • Ability to lead and influence in order to achieve results in a matrix environment
  • Demonstrated ability to create and deliver training presentations
  • Experience working in a large, decentralized, matrixed corporate setting preferred
  • Strong ability to multi-task with attention to detail and meet critical deadlines
  • Focus on efficiency
5

Ethics & Compliance Job Description

Job Description Example
Our company is looking for an ethics & compliance. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for ethics & compliance
  • Creates and edits sophisticated PowerPoint presentations for use in ethics program communication and training
  • Support the maintenance of an effective and proactive compliance communication and training program for the EUMEA region (through Learning Management System and Live trainings), including promoting use of the compliance hotline and expeditiously and thoroughly fielding questions relating to new and existing compliance issues and related policies and procedures raised by management and employees
  • Support global anti-bribery/anti-corruption efforts, including managing the due diligence program relating to the organisation’s partners and distributors
  • Manage and collaborate with Global Compliance & Ethics colleagues to ensure EUMEA region transparency reporting requirements are satisfied
  • Assist the Global Compliance and Ethics team in managing the privacy and data protection program throughout all company functions
  • Assist in developing and overseeing a system for uniform handling of such violations
  • Implement corrective action plans for resolution of compliance issues, and provide guidance on how to avoid or deal with similar situations in the future
  • Remain current on external legal and compliance trends in the biopharmaceutical industry to identify potential areas of compliance vulnerability and risk
  • Consult with outside counsel as needed to resolve difficult, complex or particularly sensitive legal/compliance issues
  • Prepare regular reports of findings from various compliance systems
Qualifications for ethics & compliance
  • Able to manage projects independently
  • Prior experience with maintaining websites (ex
  • Bachelor’s degree in a Human Resource, Business Administration, or related discipline preferred
  • Minimum 8+ years Audit/Consulting/Investigation experience and BA/BS or Legal degree
  • CFE, CPA, SCCE, CA, CIA certifications, fraud auditing and/or Legal/Compliance experience
  • Prior experience with/knowledge of Compliance & Ethics programs, FCPA and UK Bribery Act

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