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Compliance Manager - Corporate Counsel
Refer job# QQHW141240
 
Compliance Manager - Corporate Counsel Duties: Ensure the implementation and maintenance of a comprehensive Corporate Compliance Management System that involves risk assessment and due diligence, the identification and development of necessary policies and procedures to ensure compliance, communication and training, the adoption of appropriate internal controls, measuring the effectiveness of compliance program, and reporting key information and metrics to senior management. Spear-head various compliance initiatives and ensure a cohesive approach to corporate compliance at the various locations that comprise. Conduct compliance investigations, or if investigations are assigned to other personnel. Will oversee the investigations and ensure that investigations are conducted timely and thoroughly. Serve as the legal advisor and project manager for the Corporate Compliance Committee. Keep abreast of developments in Corporate Compliance jurisprudence, agency guidance or other areas guidelines and best practices. Advise the committee on developments and program enhancements. Verify that all compliance and regulatory policies and procedures have been documented, implemented and communicated. Oversee compliance investigations and ensure that investigations have project plans and are completed timely and thoroughly. Maintain meeting minutes for meetings called by the Compliance Committee. Liasing with affiliates in other regions for better alignment of compliance activities across affiliates. Define and establish a concept for conducting a compliance risk assessment and risk management across the Compliance Management System. Conduct periodic internal reviews or audits to ensure that compliance procedures are followed. Provide assistance to internal or external auditors in compliance reviews. Propose, create and ensure dissemination of approved written policies, procedures and standards for the compliance management system. Identify and recommend preventive initiatives. Contribute to and promote an enduring ethical business culture. Lead compliance awareness activities in the organization. Conduct compliance training for target audiences. Prepare reports regarding compliance operations and progress. Maintain visibility of controls execution through periodic reporting and other communication mechanisms as necessary. Develop and monitor project plans related to the Corporate Compliance Committee, compliance investigations or special projects. Maintain documentation of compliance activities such as allegations received or investigation outcomes. Continuously improve the concept for comprehensive/consolidated reporting to executive management. Identify compliance issues that require follow up or investigation. Serve as a confidential point of contact for employees to communicate with management, seek clarification of issues or dilemmas, or report irregularities. Conduct or direct the internal investigation of compliance issues, ensuring closure of open issues. Establish a centralized and holistic approach to compliance change management with full audit trail capabilities. Automate Compliance Committee activities and compliance management.

REQUIREMENTS: JD Degree, membership in a state bar preferably MI. Certification in Compliance-related field of study preferred, e.g., CPA, CFE, CIA. 6+ years of related experience, including previous compliance, internal control/forensic or investigation experience.
 
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