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Become A Head Of Ethics And Compliance

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Working As A Head Of Ethics And Compliance

  • Communicating with Supervisors, Peers, or Subordinates
  • Evaluating Information to Determine Compliance with Standards
  • Establishing and Maintaining Interpersonal Relationships
  • Documenting/Recording Information
  • Getting Information
  • Deal with People

  • Mostly Sitting

  • Make Decisions

  • $99,000

    Average Salary

What Does A Head Of Ethics And Compliance Do At Deutsche Bank

* Manage a team based in NY and Jacksonville that is responsible for drafting, revising and advising on policies and procedures for the Americas institutional and retail businesses, including broker-dealer, banking, and asset and wealth management businesses.
* Participate on the Compliance global policy committee to ensure new policies and revised policies with cross divisional impact are reviewed in accordance with firm requirements
* Analyze policies and procedures for gaps and opportunities to improve
* Work with key stakeholders to address changes in policies and procedures that impact the businesses and infrastructure groups
* Consult with applicable business units and Compliance and Legal coverage on required changes to Firm policies and procedures given regulatory developments.
* Assist in revising or creating appropriate policies and procedures to address these developments
* Interpret and communicate policies and procedures and regulatory changes to impacted areas as needed through drafting and circulating Compliance Alerts and other communications
* Assist with identifying policies and procedures requested as part of regulatory inquiries, audits and legal matters
* Work on ad-hoc projects as requested by Compliance senior management

What Does A Head Of Ethics And Compliance Do At Met Life

* Manage a team of tax professionals (and some vendors) preparing and reviewing US GAAP and STAT tax accounting and reporting deliverables and domestic tax filings and other compliance deliverables
* Oversee, review, and sign-off on interim and annual US GAAP income tax provisions prepared in accordance with ASC 740 including analysis of effective tax rate (ETR) and estimated annual effective tax rate (EAETR), current and deferred tax liability, tax attribute carryforward schedules, deferred tax rollforwards and tax basis proofs, ASC 740
* previously FIN 48) reserve analysis, and return to provision reconciliations
* Oversee tax professionals responsible for US GAAP interim and annual current and deferred tax journal entries
* Oversee tax professionals responsible for the interim and annual certification of legal entity tax balance sheet accounts
* Oversee and review the US GAAP current tax payable proof
* Oversee, review and sign-off on tax disclosures in US GAAP financial statements, including Management's Discussion and Analysis, income tax footnote, ETR schedule, tax rate discussion, analysis of forward looking tax-related risks, etc
* Manage tax reporting related risk, including compliance with SOX requirements
* Oversee and review interim and annual US GAAP tax projections/forecasts and reconciling same to actual
* Oversee, review and sign-off on interim and annual STAT income tax provisions, including statutory valuation allowance and non-admitted DTAs under SSAP 101
* Oversee tax professionals responsible for STAT interim and annual current and deferred tax journal entries
* Oversee, review and sign-off on tax disclosures in STAT filings, including Taxes, Licenses, and Fees exhibit, income tax footnote, etc
* Oversee and review interim and annual STAT tax projections
* Advise on the impacts of new or proposed tax law, tax regulations, tax planning, and accounting rule changes on US GAAP and STAT tax reporting
* Provide expert advice to the various Corporate Finance groups, Legal and Business Unit management on tax reporting issues for NewCo's financial activities
* Respond to inqueries from local jurisdictions and work with the company's external auditors to ensure the accuracy of tax information in the financial statements, and the sufficiency of the related disclosures and control environment
* Oversee all aspects of federal and state income tax compliance and reporting, including the preparation and timely filing of US federal income tax returns and related state income and franchise tax returns for life and non-life entities
* Oversee the timely filing of quarterly estimated payments and year-end extension payments federal and state income and franchise tax filings, as well as Secretary of State annual reports
* Oversee payroll depositing in 48 states as well as filing of state employer returns and Form 941, as well as all reconciliations
* Ensure adequate, audit ready documentation is maintained for all federal and state income and franchise/premium tax filings
* Research federal and state income and franchise and premium tax issues, as needed
* Oversee the analysis of the impacts of potential federal and state income and franchise/premium tax law changes
* Oversee all aspects of indirect tax compliance and accounting, including, but not limited to, premium, retaliatory and municipal tax, sales and use tax, payroll and product withholding tax, and personal property tax (remittance and tax filings as well as all reconciliations)
* Coordinate with the tax controversy team for the federal, state, and/or local income and indirect tax portions of external/internal audits, including communications with the IRS or other taxing authorities upon exam and response to income tax notices
* Monitor and ensure compliance with applicable U
* S. tax code and regulations and ensure consistent application across NewCo legal entities
* Oversee tax professionals responsible for managing tax compliance and reporting calendars and ensure timely and accurate completion of all tax compliance and reporting deliverables
* Provide support and oversight of process improvement implementations to improve the efficiency and effectiveness of the tax accounting, reporting, and compliance functions

What Does A Head Of Ethics And Compliance Do At LRN

* Manage day-to-day operations of the Ethics and Compliance Alliance, with limited supervision.
* General activities include LRN customer/partner engagement and support, content management and development, expert recruitment and engagement, event management and facilitation, and other program and project support for the ECA, as needed.
* Serve as an ethics and compliance subject-matter expert and engage in one-on-one consultations and/or group consultations with ECA subscribers, LRN prospects and/or other members of LRN’s partner community, as needed.
* Participate in topic-specific services and events that may include, but are not necessarily limited to: Participating in LRN and ECA-sponsored webcasts, workshops, telephone conference calls, etc.
* Review, evaluate, revise, and update ECA content; and produce and/or license original content for inclusion on the ECA.
* Other LRN projects and initiatives as needed

What Does A Head Of Ethics And Compliance Do At Cenlar FSB

* Specifically the Head of Compliance Testing will:
* Assist the Chief Compliance Officer in the oversight of the Compliance Management System;
* Provide leadership and guidance to the Compliance Monitoring, Testing and Risk Assessment Teams;
* Develop, implement and maintain the Compliance Risk Assessment;
* Conduct the annual review and update of the Compliance Risk Assessment;
* Develop, implement and maintain the Compliance Monitoring and Testing Program which is conducted to evaluate and validate the compliance control environment;
* Develop, implement and maintain the Compliance Testing Schedule which is established based on the Compliance Risk Assessments;
* Develop, implement and maintain the Compliance Testing Methodology which defines and establishes the baseline approach for the Compliance Department to conduct testing across Cenlar;
* Develop, implement and maintain the monitoring and testing procedures for the monitoring and testing analysts focusing on the following for each assigned compliance review: Policies, Procedures, Training, Job Specific Objectives, Escalated Issues, Risk Control Self Assessments, QA results, Regulatory Examination Results, Client Audit/Examination Results, Internal; Audit Results, Customer Complaints; Develops statistical sampling based on review of first line of defense testing results;
* Ensure assigned testing responsibilities are performed timely with high level of quality documentation and report writing skills;
* Upon completion compliance test, conduct a meeting with the Business Unit Risk Manager and applicable Business Line Management Team to discuss the preliminary findings.
* Requires owner assignment, root cause analysis and remediation plan documentation for each finding from the business within the designated timeframe;
* Compose final report for submission to the Chief Compliance Officer;
* Ensure all issues are managed and tracked through the Issues Management System;
* Perform follow up validation of the remediation action to ensure it was effective in design and implementation;
* Perform ongoing surveillance, review and analysis of first line of business mortgage servicing activities and key risk indicators and QA testing to evaluate whether, and to what extent, the controls in place adequately mitigate compliance risks to which Cenlar may be exposed.
* Provide guidance to the team of compliance monitoring and testing analysts and effectively answers their day to day questions and issues

What Does A Head Of Ethics And Compliance Do At Kforce

Performs various functions related to personal independence

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Head Of Ethics And Compliance Demographics

Gender

Male

57.7%

Female

30.1%

Unknown

12.2%
Ethnicity

White

53.1%

Black or African American

14.6%

Hispanic or Latino

13.1%

Asian

10.7%

Unknown

8.5%
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Foreign Languages Spoken

Spanish

33.3%

Portuguese

13.3%

Japanese

13.3%

French

13.3%

German

6.7%

Polish

6.7%

Korean

6.7%

Italian

6.7%
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Head Of Ethics And Compliance Education

Schools

New York Law School

10.3%

University of California - Berkeley

6.9%

George Washington University

6.9%

Northern Kentucky University

6.9%

Southwestern Law School

6.9%

Baruch College of the City University of New York

6.9%

Pennsylvania State University

6.9%

Fordham University

6.9%

State University of New York Oneonta

3.4%

Syracuse University

3.4%

U.S. Naval War College, The

3.4%

Centre College

3.4%

State University of New York College at Old Westbury

3.4%

University of Connecticut

3.4%

Stanford University

3.4%

Webster University

3.4%

Southern Baptist Theological Seminary

3.4%

Quincy College

3.4%

Hunter College of the City University of New York

3.4%

Holy Names University

3.4%
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Majors

Law

19.0%

Finance

16.7%

Business

16.7%

Accounting

11.9%

Management

5.6%

Economics

4.8%

Legal Research And Advanced Professional Studies

4.0%

Pharmacy

2.4%

Political Science

2.4%

Computer Science

2.4%

Education

2.4%

Business Economics

1.6%

Marketing

1.6%

Philosophy

1.6%

International Relations

1.6%

Chemistry

1.6%

Computer Information Systems

1.6%

East Asian Languages, Literatures, And Linguistics

0.8%

Psychology

0.8%

Management Science

0.8%
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Degrees

Masters

39.9%

Bachelors

28.4%

Doctorate

15.5%

Other

10.8%

Diploma

3.4%

Certificate

1.4%

Associate

0.7%
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Top Skills for A Head Of Ethics And Compliance

  1. Procedures
  2. Regulatory Requirements
  3. Audit
You can check out examples of real life uses of top skills on resumes here:
  • Assess effectiveness of existing employee compliance systems and procedures, and make recommendations for business process improvements.
  • Design and development of QA/ compliance/risk management strategies, PAI readiness, and goals to meet regulatory requirements.
  • Oversee Quality system auditing of non-clinical, Contract Manufacturing organizations, Suppliers, and clinical contract research organization including internal audits.
  • Led executive management in the risk management framework, policies, governance structure, incl responding to regulatory scrutiny.
  • Conducted business unit assessments and developed compliance strategies/programs to ensure compliance.

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