Top Global Ethics & Compliance Executive jobs in North Carolina

Top Global Ethics & Compliance Executive leads the overall development, direction, and promotion of the organization's global ethics and compliance function. Designs and develops programs to assess and manage legal and regulatory compliance risks and to establish high ethical standards of conduct for the organization. Being a Top Global Ethics & Compliance Executive ensures that policies reflect domestic and international legal requirements and industry-specific codes governing ethical standards and comply with transparency reporting requirements. Communicates the organization's ethical standards with messaging and delivers employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Additionally, Top Global Ethics & Compliance Executive monitors compliance with policies and investigates and remediates any non-compliant actions. Responsible for maintaining confidential reporting systems allowing employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. Requires a bachelor's degree in area of specialty. May require the Certified Compliance and Ethics Professional (CCEP)certification. Typically reports to top management. The Top Global Ethics & Compliance Executive manages a departmental function within a broader corporate function. Develops major goals to support broad functional objectives. Approves policies developed within various sub-functions and departments. To be a Top Global Ethics & Compliance Executive typically requires 8+ years of managerial experience. Comprehensive knowledge of the overall departmental function. (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.

  • 23 Days Ago

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Global Liquidity Management Senior Analyst
  • Hispanic Technology Executive Council
  • Charlotte, NC FULL_TIME
  • At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our...
  • 26 Days Ago

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1099 Sales Executive (Medical Device)
  • Top Tier Reps LLC
  • Raleigh, NC FULL_TIME
  • Salary: Commission-based with a performance bonusMedical device sales representatives are responsible for selling medical equipment to hospitals, health systems, doctor's offices, and clinics, Respons...
  • 17 Days Ago

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Global Director, SOX Compliance
  • Trane Technologies Careers
  • Davidson, NC FULL_TIME
  • At Trane TechnologiesTM and through our businesses including Trane® and Thermo King®, we create innovative climate solutions for buildings, homes, and transportation that challenge what’s possible for...
  • 5 Days Ago

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Global Sr Director, Compliance
  • 5PY US Quintiles, Inc.
  • Durham, NC FULL_TIME
  • Your opportunity IQVIA, a leading Human Data Science company, is seeking a dynamic and experienced Senior Director of Compliance to join our Ethics and Compliance Office (ECO). In this critical leader...
  • 1 Month Ago

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Global Director, Inside Sales - Secureworks - US Remote
  • Hispanic Technology Executive Council
  • Charlotte, NC FULL_TIME
  • Location: Remote United States WFHAbout SecureworksSecureworks (NASDAQ: SCWX) is a global cybersecurity leader that secures human progress with Secureworks Taegis, a SaaS-based, open XDR platform buil...
  • 13 Days Ago

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Compliance Professional
  • Hired by Matrix
  • Orlando, FL
  • Job Description Job Description Prepare and submit clearance instructions to customs brokers while ensuring full complia...
  • 3/28/2024 12:00:00 AM

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Compliance Professional
  • ABS Global Investments
  • Greenwich, CT
  • ABS Global Investments is a global investment firm specializing in sourcing alpha opportunities across global equity str...
  • 3/27/2024 12:00:00 AM

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Compliance Associate
  • Atlantic Group
  • Greenwich, CT
  • The Firm: MultiBillion$ Hedge Fund in Greenwich, CT Days in Office: 5 days a week in office Responsibilities: This perso...
  • 3/27/2024 12:00:00 AM

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Compliance Associate
  • Larson Maddox
  • Chicago, IL
  • Come join a Chicago-based Registered Investment Advisor (RIA) firm that specializes in providing investment advice and m...
  • 3/27/2024 12:00:00 AM

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Compliance Representative
  • Tradesmax Staffing Nashville, TN
  • Nashville, TN
  • Job Description Job Description Job description TradesMax Staffing in Nashville, TN is looking for detailed oriented ind...
  • 3/26/2024 12:00:00 AM

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Compliance Associate
  • Harding Shymanski
  • Evansville, IN
  • Job Description Job Description Seeking an experienced Internal Auditor/ Compliance Associate with 2-5 years of experien...
  • 3/25/2024 12:00:00 AM

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Compliance Associate
  • Mission Staffing
  • New York, NY
  • Our client, a global law firm in New York, NY, is seeking a Compliance Assistant to join their growing team. This indivi...
  • 3/24/2024 12:00:00 AM

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Compliance Associate
  • Cardea Group
  • New York, NY
  • Senior Compliance Associate (New York, NY ): Our client, a global private equity firm with over $5B in assets, is lookin...
  • 3/24/2024 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 Top Global Ethics & Compliance Executive jobs
$278,485 to $449,649