Reports to : Director Ethics, Governance & Compliance
Job Category : Group P
The Assistant Director Ethics and Compliance (ADEC) shall oversee the Board’s Compliance Program, functioning as an independent and objective body that reviews and evaluates compliance issues/concerns within the Board and County. The position ensures that employees are in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the organization meets the required Codes of Ethics and Conduct.
The Ethics and Compliance Office exists:
- As a channel of communication to receive and direct compliance issues to appropriate resources for investigation and resolution, and
- As a final internal resource with which concerned parties may communicate after other formal channels and resources have been exhausted.
The ADEC reports to the Director Ethics, Governance and Compliance and Board’s Ethics, Governance and Compliance Committee by monitoring and reporting results of the compliance/ethics efforts of the Board and County and in providing guidance for the Board and senior management team on matters relating to ethics and compliance. The ADEC, together with the Compliance Committee, is authorized to implement all necessary actions to ensure achievement of the objectives of an effective compliance program.
Duties and responsibilities
- The Assistant Director Ethics and Compliance shall promote a culture that encourages ethical conduct and a commitment to compliance with the Board’s Code of Ethics and Conduct, Conduct policies, procedures and regulations. Specific Ethics and Compliance programs and assets include: Board’s Code of Ethics and Conduct, Board’s Conduct policies, Annual Codes of Ethics and Conduct training and certification, Risk-based employee compliance training, maintaining a confidential ethics and compliance advice and reporting facility e.g. online/ web.
- Develops, initiates, maintains, and revises policies and procedures for the general operation of the Ethics and Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program.
- Develops and periodically reviews and updates Standards of Conduct to ensure continuing currency and relevance in providing guidance to management and employees.
- Collaborates with other departments (e.g., Finance, Internal Audit, Human Resource, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution.
- Consults with the Legal officer as needed to resolve difficult legal compliance issues.
- Responds to alleged violations of rules, regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations.
- Acts as an independent review and evaluation body to ensure that compliance Issues/concerns within the County are being appropriately evaluated, investigated and resolved.
- Monitors, and as necessary, coordinates compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends.
- Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
- Provides reports on a regular basis, and as directed or requested, to keep the Corporate Compliance Committee of the Board and senior management informed of the operation and progress of compliance efforts.
- Ensures proper reporting of violations or potential violations to duly authorized enforcement departments/agencies as appropriate and/or required.
- Establishes and provides direction and management of the compliance Hotline.
- Institutes and maintains an effective compliance communication program for the County, including promoting (a) use of the Compliance Hotline; (b) heightened awareness of Codes of Ethics and Conduct, and (c) understanding of new and existing compliance issues and related policies and procedures.
- Works with the Human Resources Department and others as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
- Monitors the performance of the Compliance Program and relates activities on a continuing basis, taking appropriate steps to improve its effectiveness.
Requirements for appointment
- A Bachelor’s degree in social sciences is required;
- A Master’s Degree is desirable.
- A minimum of 10 years’ experience in a large private/public organization, and must have demonstrated leadership. Familiarity with operational, financial, quality assurance, and human resource procedures and regulations are an added advantage.
- Conversant with articles 10 and 232 of the Constitution on values and principles
Meets the requirements of Chapter six (6) of the Constitution