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Conduct and Ethics Compliance Principal

Company: USAA
Location: Palm Harbor
Posted on: November 25, 2019

Job Description:

Purpose of JobWe are currently seeking a talented Conduct and Ethics Compliance Principal for one of the following locations: Plano, San Antonio Home Office I, Phoenix Campus, Tampa Crosstown or Colorado Springs Campus.



The Conduct and Ethics Compliance Risk Management team is responsible for maintaining and overseeing USAA's compliance program associated with conduct and ethics. The team is tasked with designing and executing compliance risk mitigation strategies, including overseeing the development of control standards designed to mitigate conduct and ethics risk, and working with key stakeholders across the enterprise, such as the Ethics Office, in order to develop standards for identifying, monitoring and escalating conduct and ethics risk issues, appropriate policies and procedures, and providing reporting to senior management and the Board.

The Conduct and Ethics Compliance Risk Management Principal provides thought leadership on conduct and ethics risk issues and assists in the establishment of conduct and ethics risk mitigation strategies throughout the Company.Job RequirementsTasks

  • Designs, implements and administers an effective Conduct and Ethics Compliance Risk Program, including the development of all necessary Policies and Procedures
  • Provides subject matter expertise on the requirements of a Conduct and Ethics Compliance Risk Management Program, as well as industry best practices and regulatory expectations
  • Incorporates appropriate Conduct and Ethics Compliance Risk Management standards, controls and procedures into enterprise programs in order to mitigate Conduct and Ethics compliance risk across the enterprise
  • Oversees and guides the Compliance Risk assessment for Conduct and Ethics and related activities, including tracking and reporting, developing appropriate metrics and escalation protocols and practices
  • Acts as the Subject Matter Expert and point of contact for the business on risks associated with Conduct and Ethics Compliance risk issues
  • Serves as a liaison with regulators, as needed, regarding Conduct and Ethics compliance risk matters including audit issues and regulatory requirements and assists the business on proper remediation of examination and/or audit findings
  • Enables the development of training across all levels of the organization to support a strong Conduct and Ethics Compliance Risk Management culture within the Company
  • Maintains expert knowledge of Conduct and Ethics Compliance Risk Management related laws and regulations impacting the business, and ensures the business incorporates evolving requirements and expectations into existing practices and/or procedures
  • Leads compliance and enterprise initiatives that may impact and/or benefit the successful implementation of the Conduct and Ethics Compliance Risk Management ProgramMinimum Education:
    • Bachelor's Degree -required OR 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree.Minimum Experience:
      • 10 years of Risk, Regulatory, Compliance, Legal, or Audit experience within the Financial Services Industry to include 6 years of ethics, conduct risk and/or internal investigations experience
      • Leading edge knowledge and expertise in Code of Conduct and Ethics Compliance Risk Management Programs and application in a financial services company
      • Mastery of risk management consulting skills to include gathering and synthesizing business requirements and communicating and/or facilitating constructive opportunities to a variety of audience levels such as the Board, legal counsel, law enforcement, regulators, and examiners
      • Experience applying subject matter expertise in policy management and analysis related to a Conduct and Ethics Compliance Risk Management Program
      • Excellent interpersonal, communication, negotiation and written communication skills to effectively collaborate with and influence stakeholders and peers
      • Advanced knowledge of Microsoft Office tools to include Microsoft, Word and Excel*Qualifications may warrant placement in a different job level*When you apply for this position, you will be required to answer some initial questions. - This will take approximately 5 minutes. - Once you begin the questions you will not be able to finish them at a later time and you will not able to change your responses.Preferred Education:
        • JD, MBA, or equivalent degree.The above description reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work requirements that may be performed in the job.At USAA our employees enjoy one of the best benefits packages in the business, including a flexible business casual or casual dress environment, comprehensive medical, dental and vision plans, along with wellness and wealth building programs. - Additionally, our career path planning and continuing education will assist you with your professional goals.Relocation assistance is available for this position.For Internal Candidates:Must complete 12 months in current position (from date of hire or date of placement) or must have manager's approval prior to posting.Last day for internal candidates to apply to the opening is 11/21/19 by 11:59 pm CST time.

Keywords: USAA, Palm Harbor , Conduct and Ethics Compliance Principal, Other , Palm Harbor, Florida

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