Manager Ethics & Compliance

Toronto | 8 + Years

Our client, an environmentally & socially responsible mining company is looking to add a Manager – Ethics & Compliance to their dynamic team.

Accountabilities

Primary

• Compliance Risk Assessment


• Policy Document Management (PDM)


• Compliance Training


• Third Party Risk Management


• Conflict of Interest


• Speak Up – Reporting, Investigation and Response

Secondary

• Assist with privacy & data protection


• Provide input for budget preparation and monitoring

Key Accountabilities / Responsibilities

Key Activities/ Decision Areas

1. Compliance Risk Management

• Support assessment and review of compliance risk (risks associated with the topics covered in the Code).

1. Policy Document Management

Policy Document Management Framework

• Maintain the documents defining the framework (such as Policy Document Management Standard; Policy Document Development Procedure and Policy Document Administration Procedure);


• Provide information and training on the framework to employees.

Policy Document Development

• Provide support for maintaining / updating existing core governance Policy Documents such as the Code of Conduct an its supporting policies and help develop additional governance policy documents, as required;


• Review policy documents developed by various business functions for conformity with the policy document management framework.


• Engage and manage external policy support.


• Develop and maintain Glossary of Defined Terms used in policy documents development.

Policy Document Library

• Maintain Policy Document Library and Policy Document Register;


• Manage Policy Document notification and acknowledgements.

1. Compliance Training

Compliance Training Plan

• Develop 3-year compliance training plan and annual compliance training curriculums

Training Content/Materials & Delivery (for Employees and Third Parties)

• Develop and review training content, using available external content providers/resources;


• Manage/arrange for training delivery;


• Monitor training completionand prepare the required reports.

1. Third Party Risk Management

Third Party Due Diligence (3PDD) process

• Assist with 3PDD process maintenance and enhancement


• Organize Manage process enhancements (incl. changes in the related Policy Documents)


• Provide information and training on the 3PDD process to employees


• Monitor compliance with the relevant policy document

Conduct 3PDDs

• Conduct 3PDDs and support core 3PDD team and end users for conducting the process key users at corporate and Sites


• Review 3PDD of high risk third parties in support of the Corporate Compliance Officer

3PDD platform

• Maintain platform configuration and ongoing changes.

RDC, D&B, other platforms used in the 3PDD process.

• Manage subscriptions and support users.

Donations, gifts and hospitalities related to Public Officials

• Review requests for Donations and Gifts & Hospitality related to Public Officials/Government Authorities in support of the Corporate Compliance Officer.


• Maintain Register of Donations, Gifts, Hospitality related to Public Officials/Government Authorities

1. Speak Up – Reporting, Investigation and Response

Speak-Up Reporting and Report Handling Processes

• Maintain the policy documents defining the processes;


• Provide information and training to policy documents users;


• Monitor compliance with the relevant policy documents.

EthicsPoint platform

• Manage user access, updates, notifications routing, etc.


• Assist users and arrange trainings,


• Maintain/review case record.

Speak-up Investigations

• Assist with conducting and documenting Investigations.

1. Conflict of Interest

• Assist with the design and implementation of a COI process.


• Assist with the review of COI disclosures.


• Assists with maintaining COI disclosure records.

1. Privacy & Data Protection

• Support maintaining the relevant internal policy documents;


• Maintain the Record of Processing Activities

Assist with the conducting data privacy impact assessments, as required.

For more information or to submit your CV to [email protected] reference #33041

Tagged as: In-House, Senior