Senior Manager - Global Investigations And North America Compliance & Ethics
Burr Ridge, Illinois, United States
GLOBAL INVESTIGATIONS: Allowed the Company to demonstrate an effective means of addressing organizational misconduct by building a best-practice global reporting and investigations program that is aligned with regulator guidance. • Created a more comprehensive view of global misconduct through the design and implementation of a new case handling process that facilitated measuring of program effectiveness, trend analysis, and enhanced ability to proactively address risk.• Directed Company’s Ethics Compliance Hotline operations and designed escalation and oversight procedures resulting in reduced time-to-close, improved case documentation and responsiveness to reporters, and an enhanced sense of organizational justice.• Led team to conduct and oversee investigations of potential unethical conduct and partnered with other functions to ensure prompt, thorough, and impartial investigations, as well as implementation of appropriate corrective actions.• Provided regular reporting to senior leaders and Audit Committee on the operations of the Global Investigations program and Ethics & Compliance Hotline.• Developed and deployed training to other functions to promote investigative best practices. • Created communication campaigns to encourage reporting and promote a speak-up culture, free from retaliation.COMPLIANCE & ETHICS • Created Company’s first global, automated “built-in” process for third-party due diligence of dealers and distributors, including strategic design of risk scoring and segmentation methodologies and procedures for enhanced due diligence.• Increased transparency and mitigated risks associated with potential conflict of interests through development and deployment of global disclosure process.• Led Compliance & Ethics program for the North America region including compliance training and communications campaigns, risk assessment and mitigation activities, and operations of the regional Compliance & Ethics Committee