Principal, Regulatory & Compliance

Job Summary

Global Compliance & Ethics (GC&

E) helps protect the enterprise through collaborative partnerships that provide expert, innovative, and flexible solutions across the globe. The Compliance Risk & Governance team in GC& E owns the standards, methodologies, shared capabilities, and decision rights that allow the global compliance program to operate consistently across businesses and regions. The Principal, Regulatory & Compliance is responsible for the independent reporting of compliance risk to the Board, CEO, and executive leaders and for the assessment of whether the compliance program is operating effectively.

Responsibilities

Reporting to the Compliance Risk & Governance leader, the role works directly with the Chief Compliance Officer and is accountable for how compliance risk and program effectiveness are represented to the enterprise’s most senior audiences.

Compliance Risk & Governance is responsible for governance and oversight, program infrastructure, and effectiveness and insights. This role partners with the compliance risk assessment team and other key compliance stakeholders to draw the right inputs from across compliance and synthesize them into a coherent view for the Chief Compliance Officer and the Board.

• Executive and Board Risk Visibility
  :
  Owns the compliance risk narrative and the Board, CEO, and executive reporting agenda, determining what must be elevated, to whom, and why. Sources the underlying information from peers across compliance, surfacing themes and ensuring conclusions are evidence based. Develops independent, decision-ready reporting, partners with the Chief Compliance Officer on Board and Risk Committee materials and drives follow-through on oversight commitments.

• Compliance Effectiveness Measurement
  :
  Defines how program effectiveness is assessed and evidenced, including assessment methodology, maturity criteria, surveys, and scorecards. Reaches and defends the conclusion on whether the compliance program is operating as intended and improving over time and sets findings and remediation expectations arising from internal and external assessments.

• Governance, Standards & Program Integrity
  :
  Sets the standard for what must be memorialized and to what bar. Owns the authoritative description of the compliance program and durable records of material governance decisions and their rationale, so that the program’s design and decision history remain defensible to regulators, auditors, and the Board.

• Enterprise Influence & Cross-Functional Alignment
  :
  Drives communications with a wide variety of audiences, including the Board, executive leaders, enterprise compliance subject-matter teams, business unit and regional compliance, assurance functions, and technology and data partners, tailoring messages to the audience while preserving the independence of the compliance view.

• 10+ years of experience in compliance, risk, legal, or audit, including direct experience developing materials for and engaging with boards, board committees, or C-suite executives.

• Demonstrated fluency with regulatory expectations for corporate compliance programs, including the U.S. Department of Justice Evaluation of Corporate Compliance Programs, and the ability to translate those expectations into program design, evidence, and reporting.

• Experience owning or assessing compliance program effectiveness, including methodology design, maturity assessment, scorecards, and coordination of external program reviews.

• Proven ability to exercise independent judgment on materiality and escalation, including the willingness to challenge conclusions the evidence does not support.

• Excellent written communication skills, with a track record of turning complex, incomplete, and at…