Ethics officer vs compliance director

Differences between ethics officer and compliance director duties and responsibilities

Ethics officer example responsibilities.

• Manage supervisors and individual contributors conducting confidential occupational fraud, ethics and compliance investigations across multiple lines of business.
• Promote the use of employee helpline to all associates if need.
• Work closely with finance group to ensure timely revenue recognition and compliance with GAAP.
• Execute corporate short and long term business objectives while preserving margin and increasing EBITDA.
• Investigate suspicious exchange relate transactions, AML and market abuse relate issues, and escalate appropriate remedial action for effective resolutions.
• Focuse promotion efforts on power mobility through product information promotions for physicians, clinics, hospitals, and rehabilitation centers.

Compliance director example responsibilities.

• Manage monthly FINRA registration fee allocations and departmental expenses.
• Manage Sarbanes-Oxley financial reporting and CAMP+ coverage, and certification process.
• Develop strategy to integrate acquired/new operations to achieve company ethics & compliance standards.
• Manage senior and junior surveillance/investigation analysts responsible for conducting AML surveillance and investigations.
• Develop, manage and implement program governance and structure to ensure major programs are strategically align with organizational objectives.
• Provide explanations to families on Medicare and Medicaid billing and benefits.
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