Sample Job Description for Corporate Ethics and Regulations Investigator
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Corporate Ethics and Regulations Investigator Job Overview
Corporate Ethics and Regulations Investigator Job Description Sample
Conducts investigations of alleged violations of the corporation's ethical standards or non-compliance with applicable laws, regulations and corporate policy.
JOB LEVEL
P03
EDUCATION/DEGREE
Bachelor's Degree
REPORTS TO
Manager or Head of a Unit/Department
Salary Range
BASE 50%
$94,190
TOTAL 50%
$101,070
Job Responsibilities for Corporate Ethics and Regulations Investigator
Ensures that investigations follow the approved process, are lawfully and objectively conducted, are thorough in gathering all material facts and present an accurate accounting of the issues. Presents clear, concise, and factual reports that enable fair and relevant decisions to be made. Recommends proactive measures that will reduce the risk of similar future incidents.
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| Job Title | Job Description | |
|---|---|---|
| 1 | Labor Safety Manager | The Labor Safety Manager monitors and evaluates the workplace to ensure compliance with governmental regulatory agencies. Plans and manages the general health, safety, and loss control policies and procedures of the organization. Being a Labor Safety Manager develops worker plans and policies for new employee safety orientation including skill training, emergency preparedness, proper job instruction, hazardous material disposal procedures, and the use of protective equipment. Designs and directs safety training programs to reduce accidents, occupational illnesses, and exposure to long-term health hazards. In addition, Labor Safety Manager studies, identifies, and reports causes of past accidents and develops recommendations and follow-up to prevent accident recurrences. Requires a bachelor's degree of occupational safety and health or related degree. Typically reports to a head of a unit/department. The Labor Safety Manager manages subordinate staff in the day-to-day performance of their jobs. True first level manager. Ensures that project/department milestones/goals are met and adhering to approved budgets. Has full authority for personnel actions. Extensive knowledge of department processes. Working as a Labor Safety Manager typically requires 5 years experience in the related area as an individual contributor. 1 to 3 years supervisory experience may be required. |
| 2 | Manager of Ethics and Compliance | The Manager of Ethics and Compliance implements programs to assess and manage legal and regulatory compliance risks and establish high ethical standards of conduct for the organization. Oversees and promotes the organization's global ethics and compliance function. Being an Manager of Ethics and Compliance delivers employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Communicates the organization's ethical standards, policies, and regulations. In addition, Manager of Ethics and Compliance conducts compliance monitoring, investigations, and remediations of any non-compliant actions. Manages the administration of confidential reporting systems or helplines for employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. Typically requires a bachelor's degree. Typically reports to a director. The Manager of Ethics and Compliance manages subordinate staff in the day-to-day performance of their jobs. True first level manager. Ensures that project/department milestones/goals are met and adhering to approved budgets. Has full authority for personnel actions. Working as an Manager of Ethics and Compliance typically requires 5 years experience in the related area as an individual contributor. 1 - 3 years supervisory experience may be required. Extensive knowledge of the function and department processes. |
| 3 | Safety Programs Compliance Director | The Safety Programs Compliance Director ensures the workplace is in compliance with OSHA and other state, local, or industry specific regulations and that periodic safety audits are conducted. Directs, develops, and oversees the general health and safety policies and procedures of the organization. Being a Safety Programs Compliance Director develops a systemic process to collect data and analyze the causes of accidents and generate required reporting. Provides programs that ensure a safe workplace including safety orientations, skill training, emergency preparedness, proper job instruction, hazardous material disposal procedures, and the use of protective equipment. In addition, Safety Programs Compliance Director implements initiatives to reduce and prevent accidents, occupational illnesses, and exposure to long-term health hazards. Requires a bachelor's degree. Typically reports to top management. The Safety Programs Compliance Director manages a departmental sub-function within a broader departmental function. Creates functional strategies and specific objectives for the sub-function and develops budgets/policies/procedures to support the functional infrastructure. Deep knowledge of the managed sub-function and solid knowledge of the overall departmental function. Working as a Safety Programs Compliance Director typically requires 5+ years of managerial experience. |
| 4 | Director of Ethics and Compliance | The Director of Ethics and Compliance designs and develops programs to assess and manage legal and regulatory compliance risks and to establish high ethical standards of conduct for the organization. Develops, directs, and promotes the organization's global ethics and compliance function. Being a Director of Ethics and Compliance communicates the organization's ethical standards with messaging and deliver employee training programs that raise awareness about ethics-related topics such as Anti-Bribery, Anti-Corruption, Antitrust, Conflicts of Interest, and others. Ensures that policies reflect domestic and international legal requirements and industry-specific codes governing ethical standards and comply with transparency reporting requirements. In addition, Director of Ethics and Compliance monitors compliance with policies and investigates and remediates any non-compliant actions. Responsible for maintaining confidential reporting systems allowing employees, customers, contractors, and other stakeholders to disclose violations of the organization's ethical standards, violations of law, or policies without fear of retaliation. Requires a bachelor's degree in area of specialty. May require the Certified Compliance and Ethics Professional (CCEP)certification. Typically reports to top management. The Director of Ethics and Compliance manages a departmental sub-function within a broader departmental function. Creates functional strategies and specific objectives for the sub-function and develops budgets/policies/procedures to support the functional infrastructure. Working as a Director of Ethics and Compliance typically requires 5+ years of managerial experience. Deep knowledge of the managed sub-function and solid knowledge of the overall departmental function. |
| 5 | Agent Licensing Compliance Manager | The Agent Licensing Compliance Manager ensures compliance with all applicable regulations; maintains all necessary records. Oversees the licensing of employees responsible for the sale and marketing of insurance, loan, or investment products. Being an Agent Licensing Compliance Manager typically reports to a head of a unit/department. May require a bachelor's degree in area of specialty. The Agent Licensing Compliance Manager typically manages through subordinate managers and professionals in larger groups of moderate complexity. Provides input to strategic decisions that affect the functional area of responsibility. May give input into developing the budget. Capable of resolving escalated issues arising from operations and requiring coordination with other departments. Working as an Agent Licensing Compliance Manager typically requires 3+ years of managerial experience. |
Corporate Ethics and Regulations Investigator Skills & Proficiency Level
| Skills | Proficiency Level |
|---|---|
| Project Management | Level 2 |
| Attention to Detail | Level 3 |
| Honesty And Integrity | Level 3 |
