Ethics & Compliance Business Unit Specialist jobs in North Carolina

Ethics & Compliance Business Unit Specialist supports and coordinates the activities of the organization's global ethics and compliance function. Assists with the delivery and maintenance of programs to assess and manage legal and regulatory compliance risks and establish high ethical standards of conduct for the organization. Being an Ethics & Compliance Business Unit Specialist prepares materials that communicate the organization's ethical standards, policies, and regulations. Supports or delivers employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Additionally, Ethics & Compliance Business Unit Specialist generates reports of compliance monitoring statistics, investigations, outcomes, and remediations of any non-compliant actions. May administer reporting systems or helplines for employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. May require a bachelor's degree or equivalent. Typically reports to a manager or head of a unit/department. The Ethics & Compliance Business Unit Specialist occasionally directed in several aspects of the work. Gaining exposure to some of the complex tasks within the job function. To be an Ethics & Compliance Business Unit Specialist typically requires 2-4 years of related experience. (Copyright 2024 Salary.com)

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Code of Ethics Compliance Manager (Charlotte)
  • Allspring Global Investments
  • Charlotte, NC FULL_TIME
  • About us

    Allspring Global Investments™ is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients’ goals. At Allspring, our vision is to inspire a new era of investing that pursues both financial returns and positive outcomes. With decades of trusted experience propelling us forward, we strive to build portfolios aimed at generating successful outcomes for our clients. We do this through the independence of thought that powers our investment strategies and by bringing a renewed approach to look around the corner to unlock what’s possible. Allspring is a global company committed to thoughtful investing, purposeful planning, and the desire to deliver outcomes that expand above and beyond financial gains.

    At Allspring, we leverage the diversity of people, ideas, and skills to help our clients pursue their financial goals. Promoting diversity, equity, and inclusion in all aspects of our business is vital to our success. We drive creativity and innovation by bringing together multiple perspectives – diversity and inclusion are key to understanding our clients more fully and seeing business opportunities in new ways. Making differences, our difference.

    For more information, please visit www.allspringglobal.com.

    Job description

    Allspring Global Investments strives to help investors achieve their financial goals through investment solutions managed by specialized investment teams and backed by collaborative service. Allspring's investment approach centers on autonomous investment teams that maintain their own independent research, idea-generation, and decision-making processes. Its independent investment risk management approach provides a consistent, unbiased framework for analyzing and balancing risk in portfolios. Allspring offers the expertise of over 29 investment teams—each focused on specialized, niche portfolio management strategies— that attempt to meet the diverse needs of our investors.

    RESPONSIBILITIES:

    Manager, Ethics Office

    • The Manager of Ethics leads a team that works across Allspring to address potential conflicts of interest arising from employees' personal investing, outside business, political contribution and participation, entertainment and gifting, and other conduct-related activities.
    • In this role you will guide the team as they maintain Allspring's Code of Ethics, including rules for Employee Investing, outside business activities, political contributions, entertainment and gifting and other conduct-related activities and monitor for compliance with those rules.
    • You will also liaise with the technology solutions provider (FIS PTA) to facilitate that work.
    • You will serve as a trusted advisor to business partners across Allspring in addressing issues that arise under our ethics and conduct policies and associated Rules.

    The Expertise and Skills Necessary
    The Ethics organization works closely with Risk and Legal partners and with all other business units to protect Allspring's brand and reputation by ensure ongoing compliance with our policies and applicable law. We focus on those policies that relate to employees' personal conduct, including personal investing, outside business activities, personal conflicts of interest and other conduct-related matters. We also provide training to employees. We are passionate about the employee experience and committed to providing sound and consistent guidance that effectively mitigates risks.

    REQUIRED QUALIFICATIONS:

    • Ten years broad compliance and/or legal experience in the financial services industry.
    • Demonstrated success working collaboratively across various teams, including Legal, Operations, Risk, and Audit.
    • Experience with Trade Monitoring and Inside Information controls, including operational and analytical components to support compliance with Allspring policy and securities laws.
    • History managing relationships across financial services organizations and successfully influencing key decision-makers on complex issues related to employee investment and conduct-related activity.
    • Advise associates and managers across the firm on Code of Ethics, personal trading, and inside information issues.
    • Closely monitor for and champion technology improvements to facilitate employee engagement with the Ethics Office and to improve the Ethics Office's ability to efficiently monitor employee trading.
    • Quickly spot potential regulatory issues, synthesize information, and collaborate to make decisions.
    • Set strategic goals for the team and play a key role in guiding their performance and career development.
    • Encourage a culture of diversity, inclusion, ownership, and empowerment.
    Desired Qualifications
    • At least 7-10 years of related experience (with at least 5 years of investment adviser code of ethics / personal security transaction monitoring compliance experience).
    • Strong knowledge of SEC code of ethics / personal security transaction related regulations.
    • Ability to modify Compliance Program to changes in regulatory or corporate requirements.
    • Prior experience in oversight of written policies and procedures.
    • A proactive, self-starter work style and able to interact with people with varied personalities and work styles.
    • Candidate must have excellent written, oral and presentation skills.
    • Candidate must have strong PC skills (Office) and ability to interface effectively on systems issues.
    • Hybrid Model Work Schedule.
    Disclaimer

    The firm invites all interested and qualified candidates to apply for employment opportunities. All offers for employment with Allspring are contingent upon the candidate having successfully completed a criminal background check.

    We are an Equal Opportunity/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status.

  • 22 Days Ago

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Only W2 -- ITGC Sox Compliance
  • American Unit Inc
  • Durham, NC CONTRACTOR
  • ITGC Sox Compliance Durham North Carolina 277032 Months CTHEnd Customer: Pearson Education Inc.ITGC SOX COMPLIANCE | HYBRID (DURHAM, NC)The Select Group is looking for someone strong with ITGC Sox Com...
  • 5 Days Ago

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Compliance Specialist
  • Town of Apex, NC
  • Apex, NC FULL_TIME
  • Compliance Specialist ABOUT THIS POSITION: EXPECTED HIRING RANGE: $68,358.00 - 83,739.00 WORK LOCATION: 205 Saunders Street, Apex, NC 27502 POSTING CLOSING DATE: 11/16/2023 WHAT YOU WILL BE DOING: The...
  • 21 Days Ago

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Compliance Specialist
  • The Bridge Consulting Group, LLC
  • Durham, NC FULL_TIME
  • The Compliance Specialist will develop,manage and implement processes to ensure the organization's compliance with applicable federal and state HIPAA regulations and guildlines, particulary regaring t...
  • Just Posted

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Compliance Specialist
  • Atlantic Medical Management
  • Jacksonville, NC FULL_TIME
  • Summary: Atlantic Medical Management (AMM) is looking for an experienced Compliance Specialist to join our organization. AMM is a corporate medical management firm that is dedicated to improving patie...
  • 2 Days Ago

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Compliance Specialist
  • LSA Management, LLC
  • Charlotte, NC FULL_TIME
  • Job description Key Areas We're Looking For: Highly experienced compliance person. Seeking certified COS, and HCCP (or equivalent). Must be okay with traveling in NC up to 40%. Compliance Specialist O...
  • 3 Days Ago

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HIPAA Compliance Expert
  • Eagle Consulting Partners, Inc.
  • Cleveland, OH
  • At Eagle Consulting Partners, we provide cybersecurity, compliance, and IT risk management consulting to Small and Mediu...
  • 3/28/2024 12:00:00 AM

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Financial Compliance Specialist
  • Virginia Tech University
  • Blacksburg, VA
  • The Office of Sponsored Programs at Virginia Tech, a central university department under the Office of Research and Inno...
  • 3/28/2024 12:00:00 AM

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Personal and Work Life Core Compliance Expert
  • Ladgov Corporation
  • Montgomery, AL
  • Major Duties and Responsibilities Provide family-focused education and support services. Conduct initial and crisis asse...
  • 3/28/2024 12:00:00 AM

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Compliance Specialist
  • Storm2
  • Boston, MA
  • Role: Compliance Specialist Industry: InvestTech Location: Boston, hybrid Storm2 are partnered with a VC backed InvestTe...
  • 3/27/2024 12:00:00 AM

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Compliance Specialist
  • Trilogy Health Services
  • Louisville, KY
  • JOIN TEAM TRILOGY: Weekly pay, health and dental after your first month, student loan repayment, a competitive 401(k) ma...
  • 3/27/2024 12:00:00 AM

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Compliance Specialist
  • Collabera
  • Cincinnati, OH
  • Job Description Job Description Urgent Hiring for Compliance Specialist at Cincinnati, OH at $20/hr. Job Description: In...
  • 3/27/2024 12:00:00 AM

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Compliance Specialist
  • Deringer-Ney Inc.
  • Hartford, CT
  • Title: Compliance Specialist Job Summary: Oversee compliance requests and requirements to ensure that statutory, regulat...
  • 3/26/2024 12:00:00 AM

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EMEA Trade Compliance Specialist
  • Arrow Electronics, Inc.
  • Sevenum, Limburg
  • Position: EMEA Trade Compliance Specialist Job Description: As Arrow Global Components (AGC), a part of Arrow Electronic...
  • 3/11/2024 12:00:00 AM

North Carolina (/ˌkærəˈlaɪnə/ (listen)) is a state in the southeastern region of the United States. It borders South Carolina and Georgia to the south, Tennessee to the west, Virginia to the north, and the Atlantic Ocean to the east. North Carolina is the 28th-most extensive and the 9th-most populous of the U.S. states. The state is divided into 100 counties. The capital is Raleigh, which along with Durham and Chapel Hill is home to the largest research park in the United States (Research Triangle Park). The most populous municipality is Charlotte, which is the second-largest banking center in...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Ethics & Compliance Business Unit Specialist jobs
$71,977 to $94,137