At **MEMBERS ONLY**SIGN UP NOW***, we are dedicated to promoting ethical behavior in investment markets and serving as a leading source of learning and research for the investment industry. With nearly 200,000 charterholders worldwide, we have a strong presence in 160 markets and are committed to upholding ethical standards and fostering an environment where investors' interests come first.
We are currently seeking a Head of Professional Conduct to lead our global Professional Conduct Program (PCP) and reinforce our mission to uphold ethical standards in the financial industry. In this senior role, you will work closely with the Managing Director, Chief Legal and Compliance Officer and have the opportunity to shape our strategic direction on ethics.
Key Responsibilities:
- Shape the Vision: Develop and evolve the strategic vision for the Professional Conduct Program, adapting strategies to changing conditions and aligning them with **MEMBERS ONLY**SIGN UP NOW***'s broader mission. - Lead Disciplinary Oversight: Oversee and guide investigations into potential ethical violations within the industry and exam programs, presenting findings to the Disciplinary Review Committee (DRC). - Drive Ethical Standards: Champion **MEMBERS ONLY**SIGN UP NOW***'s Code of Ethics and Standards of Professional Conduct, ensuring adherence and effective enforcement. - Engage Stakeholders: Communicate the value and importance of the Professional Conduct Program to societies, members, and candidates worldwide. - Build Strong Relationships: Work closely with volunteer committees, such as the Disciplinary Review Committee and Standards of Practice Council, to align efforts and maintain a robust ethical framework. - Lead a Global Team: Mentor, coach, and develop a diverse team of global professionals dedicated to advancing ethics in finance. - Inform Leadership: Track trends, generate reports, and regularly update **MEMBERS ONLY**SIGN UP NOW*** leadership and the Board of Governors on key findings and disciplinary matters.
Qualifications:
- Experienced and Educated: You hold a Juris Doctor and ideally a CFA charter, with significant experience in investment management, financial and/or regulatory compliance, or related fields (FINRA, SEC, white-collar enforcement). - Global Leader: Proven success in managing and leading diverse, global teams. - Change Driver: Skilled at leading organizational change and implementing process improvements. - Skilled Communicator: Able to engage audiences at all levels, with strong presentation and speaking skills. - Organized and Professional: Highly organized with an exceptional ability to manage confidential information with professionalism. - Multilingual Advantage: Fluency in English is essential; additional language skills are a plus.
At **MEMBERS ONLY**SIGN UP NOW***, we value transparency and equity in our hiring process. In compliance with wage transparency laws, we provide the following information regarding compensation for this position:
- Expected salary Range: $210k-$240k per year - Other benefits include eligibility for annual incentives, 12% 401(k)/pension employer contribution, and competitive medical benefits. - All salary ranges are subject to adjustment based on experience, education, and other factors relevant to the position.
**MEMBERS ONLY**SIGN UP NOW*** is an equal opportunity employer and encourages applications from all qualified individuals. We prohibit discrimination and harassment based on any identifying characteristics, including race, color, national origin, citizenship or immigration status, religion, creed or belief, age, marital or partnership status, marital or family status, care giver status, pregnancy and maternity, sexual and other reproductive health decisions, physical abilities/qualities, disability, sexual orientation, gender, gender identity or expression, predisposing genetic characteristic, military or veteran status, status as a victim or witness of domestic violence or sex offense or stalking, unemployment status, infectious disease carrier status, migrant worker status, educational background, socio-economic status, geographic location and culture, or any other basis protected by applicable law. This policy applies to all aspects of employment and to all **MEMBERS ONLY**SIGN UP NOW*** employees, regardless of location.
If you are passionate about ethics, leadership, and the investment management industry, we encourage you to apply and join our team at **MEMBERS ONLY**SIGN UP NOW***. Together, we can make a difference in promoting ethical behavior and upholding the highest standards in the financial industry.
