Principal Counsel Ethics

Profile

Principal Counsel, Ethics

The candidate will create, interpret, advise on, monitor and maintain various conflicts-of-interest programs at organization, at all times acting in an independent and confidential manner. Will independently counsel senior executives and senior managers in departments across the company regarding complex conflicts of interest questions raised to the Ethics Office. Present recommendations regarding solutions and outcomes for significant conflicts issues to the Ethics Director and VP; take a leadership role in proactively identifying patterns and systemic issues in the organization's conflicts-of-interest policies; propose and manage implementation of necessary modifications to such programs; and report to the Ethics Director and VP on a periodic basis on the status of the programs under the attorney's responsibility. Independently conduct comprehensive investigations of potential violations of the conflicts of interest policies and related violations of organization's Code of Conduct, including interviewing relevant players, drafting summaries for case files, and working with relevant control departments to determine outcomes. Demonstrate expert-level knowledge and familiarity with the parameters and nature of each organization Regulatory Department's specific regulatory programs. Serve as source of expertise on one or more areas of organization's Ethics Program. Serve as liaison to senior managers of all organization Regulatory Departments regarding organization's Conflicts of Interest Waiver Policy; exercise independent judgment in evaluating suggested changes by regulatory departments to same; identify and present original, creative, innovative and sophisticated solutions for changes to the policy which reflect the intricacies and nuances of each department's regulatory program and mission, including streamlining compliance tasks and changes necessary to accommodate changes in the regulatory program or structure; responsible for creation of related guidance materials. Provide nuanced review and guidance to regulatory departments regarding permissibility of proposed conflicts of interest waivers, being mindful of precedent and future oversight by the SEC; responsible for monitoring each department's ongoing compliance with the Policy. Serve as enterprise-wide liaison for the organization Former Employee Review Policy. Provides expert interpretive guidance to all organization departments regarding the Policy, reviewing compliance by organization departments with the Policy, and providing direction to organization's HR and Registration and Disclosure departments regarding required tasks under the Policy. Identify and present original, creative, innovative and sophisticated solutions for changes to the existing policy, including streamlining compliance tasks or reflecting changes to departmental programs. Responsible for creation of guidance materials. Serve as the primary attorney responsible for the Revolving Door policy underpinning the relevant rules, the related guidance materials and training programs. Provide interpretive guidance to both external and internal constituents, including former employees, member firms, and current senior managers and employees, the Ombudsmen's office, and Corporate Communications. Primary attorney responsible for independently advising regulatory departments on organization's overarching Conflicts of Interest Policy, including working closely with departments' senior managers to ensure compliance with the policy and timely, innovative, and creative solutions to complex issues posed by the differing regulatory programs. Review and provide legal expertise regarding departments' ancillary conflict of interest procedures or documents.

Conduct review and planning with organization Technology in the prioritization and implementation of the road-map for enhancements and new development for the Conflicts of Interest Certification (COIC) system used by the Regulatory Departments. Serve as the subject matter expert for Internal Audit and SEC oversight inspections of the Ethics Office, as well as OCIE Inspections of other organization offices, on organization's cross-departmental conflicts policies. Participates in and organizes documentation for responses to the SEC Office of Compliance and Inspection, including annual reports under FSIO or other similar SEC programs. Provide direction to the other Ethics Office Advisory & Communications team members on all activities associated with the conflict of interest programs, including coaching Advisory staff on conflict policy requirements,determining appropriate responses to employee questions and help-line matters, reviewing annually the conflict of interest sections of the Code and supplemental guidance documents for accuracy, involvement in enterprise-wide training and communication efforts, and management of conflicts program periodic certifications and other recurring activities, and related responsibilities as directed by the Ethics Director. Maintain strict confidence while performing duties and responsibilities. Should have Law degree and admission to the Bar. Top academic credentials are required. Must have 6+ years of experience in a legal compliance or ethics, investigator, and/or analytical capacity, preferably in a regulatory environment. Corporate ethics and compliance program experience highly desirable. Project management experience desirable. Working knowledge of financial services accounts and securities products highly desirable.

Additional Information

Req. #: R-001471

Company info

FINRA.
1735 K St., NW
Washington
District of Columbia
United States 20006
Website : http://www.finra.org