Grow your career with a growing organization
Whether they’re helping people reach their long-term financial goals or providing personal wealth management strategies, every associate contributes to changing the lives of those we serve for the better. When it comes to job satisfaction, that’s hard to beat. And from a personal satisfaction perspective, you’ll enjoy the freedom to support causes that matter to you and experience a truly inclusive work environment. Your future starts now.
The Ethics Compliance Program Manager manages all aspects of Empower’s Code of Conduct program. Managing the corporate wide Code of Conduct program includes policy development, training and education development and implementation, and investigations on behalf of the organization that involve the Code or related policies.
What you will do
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Manage an effective enterprise wide Code of Conduct program that includes development and implementation of standards of ethical conduct, related policies and procedures and day-to-day operations associated with the company’s Code of Conduct program.
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Proactively identify opportunities for continued advancement of the program, as well as identifying and mitigating risks on behalf of the company related to the program.
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Investigate potential Code of Conduct (“Code”) violations, including drafting investigative reports for matters pertaining to the Code
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Collaborate with internal departments (e.g. Fraud, Legal, Internal Audit, Human Resources) to direct compliance issues to the appropriate channels for investigation and resolution. Consult with corporate attorneys as needed to resolve more complex legal compliance issues.
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Responsible for drafting of documents, preparation of summaries, interacting with business line areas, compliance and Code of Conduct related matters.
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Draft reports for the Company’s Risk Committee (of the Board of Directors) and Senior Management to identify trends and progress of Code related matters.
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Liaise with internal functions such as Human Resources, Legal, Internal Audit, Fraud and the Special Investigation Unit to assess whether reported activities involve potential Code violations
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Stay abreast of and monitor legal, regulatory and enforcement trends to calibrate the compliance and ethics program accordingly and advise accordingly.
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Respond to routine requests relating to the Code, including but not limited to conflict of interest questions, in consultation with legal counsel and compliance department subject matter experts.
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Develop, maintain, revise and operationalize policies and procedures, protocols, and guidelines that pertain to the Code of Conduct.
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Build positive relationships and partner with various stakeholders across the business to drive cross-functional compliance initiatives while anticipating and meeting business needs.
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Respond to alleged violations of rules, regulations, policies, procedures and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Develop and oversee a system of uniform handling of investigations and outcomes.
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Partner with Human Resources, Legal Counsel and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for employees and managers and promoting the use of the Compliance Hotline and heightened awareness of the Code of Conduct.
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Monitor global compliance department activities to remain abreast of the status of all Global Code of Conduct compliance activities and to identify trends.
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Both independently and in collaboration with others, responsible for handling certain processes involving GWF’s legal, and risk areas.
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Perform compliance testing and monitoring as needed.
What you will bring
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Bachelor's degree or equivalent experience.
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Compliance and ethics professional certification preferred, but not required
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Minimum of seven years related and progressive experience
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Significant knowledge of key Ethics and Compliance topics
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Ability to work independently as well as with a team
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Ability to maintain a high degree of discretion and confidentiality
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Ability to manage multiple, competing priorities with strict deadlines.
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Strong written and oral communication skills
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Stellar organizational, time management and problem-solving skills
What will set you apart
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Ability to manage time well and works efficiently, tracks due dates, effectively organizes and prioritizes information, is punctual; accelerates pace as appropriate to urgency
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Ability to operate with integrity and communicates respectfully in language, writing, and actions
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Ability to appropriately adjust communication type, style, and body language to audience and situation
What we offer you
We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.
- Medical, dental, vision and life insurance
- Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
- Tuition reimbursement up to $5,250/year
- Business-casual environment that includes the option to wear jeans
- Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
- Paid volunteer time — 16 hours per calendar year
- Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
- Business Resource Groups (BRGs) - internal networks that rally around common interest, experiences and identities such as race, ethnicity, gender, ability, military status and sexual orientation. BRGs play a vital role in educating and engaging our people and advancing our business priorities.
The salary range below describes the minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.
Base Salary Range
$ 89,200.00-126,025.00
We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age (40 and over), race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.
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