Ethics and Compliance Officer
Ethics & Compliance Officer
Montgomery, AL 36104
The Ethics & Compliance Officer serves as a central point of accountability for all ethics and compliance related issues. Responsible for developing programs, administering training, and investigating issues. Promotes ethical behavior, facilitates proper decision-making, and provides our employees and business partners with the tools and resources to do what is right in any context.
- Receives and investigates complaints or reports of incidents which may violate company policies and procedures, the Business Ethics Guidelines or other regulations which govern the conduct of Caddell’s employees and others who do business with the company.
- Ensures proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
- Develops and coordinates educational opportunities and training programs that focus on the elements of the Caddell Business Ethics Guidelines, Compliance Program, and other applicable policies, procedures, regulations and laws governing Caddell.
- Develops, implements, and trains on policies and procedures that encourage employees to make the right decisions, and report suspected fraud, misconduct and other improprieties without fear of retaliation.
- Under the direction of the Vice President of Compliance & Ethics, periodically reviews and revises Caddell’s Business Ethics Guidelines and policies and procedures to achieve compliance with applicable laws, rules and regulations.
- Monitors industry and regulatory developments, and makes compliance recommendations.
- Pursues continuing education to maintain knowledge of current ethics and compliance rules and practices.
- Conducts ethics briefings for new hire onboarding.
- All other duties as assigned per Supervisor’s discretion.
Education/Experience: Bachelor’s degree in Public Administration, Business Administration, Human Resources or a closely related discipline and eight (8) to ten (10) years of related business work experience in compliance and regulatory analysis, or an equivalent combination of education and experience. Advanced degree in law or business is preferred. Experience in researching and investigating complex matters and prior training experience in ethics or compliance related topics.
Certifications, Licenses, etc.: Certified Compliance & Ethics Professional (CCEP) Certification strongly preferred.
Knowledge, Skills and Abilities: Must be capable of handling a broad workload and be adaptable to a variety of special assignments in response to the needs of the organization. Must possess strong leadership, negotiation, and both oral and written communication skills. Capable of conducting independent research and analysis. Must possess a high level of integrity and the ability to appropriately administer the authority of the position. Must be diplomatic and able to make difficult decisions while remaining objective. Should possess advanced proficiency with Microsoft Office applications.
Salary Range: $88,000 – $95,000 commensurate with experience.