Receiving and investigating reported concerns of possible misconduct; serving as a confidential and non-retaliatory resource for all partners and employees who have questions or concerns
Conduct timely, effective and independent investigations; develop investigation plans; conduct interviews of reporters, witnesses and subjects of concerns; collect all relevant evidence; make and report on investigation findings; document all investigative steps in the firm's ethics case management system and an Executive Summary; and when claims are substantiated, facilitate and lead the discipline committee process; and confirm all is consistent with the established robust internal investigations processes and best pract.
Collaborate with key stakeholders across the firm including the People team, Risk Management, Information Security and the Office of General Counsel ice.
Conduct root cause analyses, identify potential areas of compliance vulnerability and risk, as well as control gaps, and develop / implement corrective action plans for resolution, developing and improving policies and processes; and provide general guidance on how to avoid or deal with similar situations in the future.
Support functional leaders as needed from an ethics or compliance perspective, including colleagues in the People team, Risk Management and OGC, and transition to them matters more appropriate for their handling given their subject matter speciality.
Draft and deliver ethics and compliance training and communications with subject matter specialists in Learning & Development and our communications functions through an established firm-wide schedule and cadence, as well as ad hoc when needed.
Prepare trend analyses, analysing ethics and compliance data and preparing reports for management.
