Compliance Officer Conduct Ethics Guidelines and Employee Stock Trading
Compliance Officer Conduct Ethics Guidelines and Employee Stock Trading
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Job Description
Title:
Compliance Officer Conduct Ethics Guidelines and Employee Stock TradingCompany:
Everest Global Services Inc.Job Category:
Compliance OversightJob Description:
About Everest:
Everest Group Ltd. (Everest) is a leading global reinsurance and insurance provider operating for nearly 50 years through subsidiaries in North America Latin America the UK & Ireland Continental Europe and Asia Pacific regions. Throughout our history Everest has maintained its discipline and focuses on creating longterm value through underwriting excellence and strong risk and capital management. Our strengths include extensive product and distribution capabilities a strong balance sheet and an innovative culture. Our most critical asset is our people. We offer dynamic training & professional development to our employees. We also offer generous tuition/continuing education reimbursement programs mentoring opportunities flexible work arrangements and Colleague Resource Groups.
Job Summary:
The mission of the Everest Group Compliance Department is to ensure that legal regulatory and ethics risks across Everest Group are effectively and efficiently controlled. In this key position you will collaborate with insurance and reinsurance business and support functions to administer on a daytoday basis Everests Ethics Guidelines employee stock trading controls Compliance hotline and other reporting mechanisms and whistleblower reporting situations. You will undertake risk assessment testing consultation on identified issues policy interpretation and management and training.
Working directly with the Chief Compliance Officer and with key members of the Compliance and Legal teams you will have the freedom to think creatively and design your own program to meet Everests compliance goals and to advocate a culture of compliance and ethical conduct across the organization. You will use knowledge of commercial insurance and reinsurance to establish credibility with employees and management and be viewed as part of the team solving todays ethical challenges to allow employees to focus on business free of friction arising from ethical problems. You will coordinate with international team members to ensure that those operations are also wellcontrolled. The Compliance Officer will be keenly aware of emerging issues and areas of risk and will assist Everest in staying ahead of those risks.
Responsibilities include but not limited to:
Maintaining and constantly assessing the appropriateness of the Ethics Guidelines and related policies
Operating employee stock trading controls including preclearance requirements on behalf of the Chief Compliance Officer
Managing intake and handling of all potential whistleblower situations in collaboration with Law Department and other investigating groups
Owning the Compliance hotline and other reporting mechanisms and related complaint handling procedures for possible violations of Ethics Guidelines all other Compliance policies and laws and regulations
Conducting risk assessments
Designing and implementing a testing and consultation program prioritized by level of inherent and residual risk.
Assessing training needs and designing and implementing riskappropriate training.
Maintaining awareness of emerging issues and areas of risk working with internal legal experts and accessing outside sources of information
Working with business Law Department and key support functions to resolve identified issues respond to law enforcement government or regulatory examinations and inquiries and ensure that goingforward controls are effective.
Monitor and offer input as necessary to international legal and compliance staff addressing local issues especially as Everest expands and enters new countries.
Key player in expansion into new geographies worldwide to ensure that ethics risk is understood and considered before expansion is implemented.
Qualifications Education & Experience:
4year college degree required; insurance or risk managementrelated work is a plus
Admission to the bar and securities law experience at a law firm or inhouse a significant plus
At least 10 years experience in related positions; insurance industry or financial services brokerdealer experience a plus
Experience managing reporting processes for possible violations to Compliance through hotlines and other channels.
Professional certifications in compliance such as CCEP and related to securities are a plus.
Knowledge Skills & Competencies:
Basic knowledge of insurance products including workers compensation casualty management liability property and marine and aviation/aerospace coverages; insurance distribution including producers MGUs and program administrators; claims handling; Finance and Treasury functions as related to ethics guidelines reporting and securities trading controls.
Significant base of knowledge about code of conduct and ethics compliance programs in US and abroad
Strong interpersonal and influencing skills with the ability to navigate and succeed in a matrixed organization structure managing crossfunctional relationships and aligning multiple stakeholders
Expert understanding of second line of defense role of Compliance desirable but not necessary.
Knowledge of infrastructure systems and processes available for compliance reporting and recordkeeping.
Knowledge of federal and state securities law including insider trading laws Rule 16 filing requirements and Rule 10b51 plans.
Relationshipbuilding advocacy and presentation skills to build Compliance Department credibility and ensure acceptance of necessary compliance measures by all constituencies.
Courage and confidence to make hard calls stick with them and persuade others as needed.
Proficiency in written communication; facility with word processing spreadsheet presentation and file share software
Proactivity and initiative and a desire to put your stamp on this key role in our Group Compliance Department
Judgement and ability to prioritize work in light of risk severity and available resources.
What if I dont meet every requirement At Everest we are dedicated to building an inclusive and authentic workplace. So if you are excited about this role but your past experience doesnt align perfectly with every element in the job description we still encourage you to apply. You may be just the right candidate for this or other roles. Please let us know if you need any accommodations throughout the application or interview process.
Our Culture
At Everest our purpose is to provide the world with protection. We help clients and businesses thrive fuel global economies and create sustainable value for our colleagues shareholders and the communities that we serve. We also pride ourselves on having a unique and inclusive culture which is driven by a unified set of values and behaviors. Clickhereto learn more about our culture.
Our Valuesare the guiding principles that inform our decisions actions and behaviors. They are an expression of our culture and an integral part of how we work: Talent. Thoughtful assumption of risk. . Efficiency. Humility. Leadership. Collaboration. Inclusion and Belonging.
Our Colleague Behaviorsdefine how we operate and interact with each other no matter our location level or function: Respect everyone. Pursue better. Lead by example. Own our outcomes. Win together.
All colleagues are held accountable to upholding and supporting our values and behaviors across the company. This includes day to day interactions with fellow colleagues and the global communities we serve.
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Type:
RegularTime Type:
Full timePrimary Location:
Warren NJAdditional Locations:
Everest is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion or creed sex (including pregnancy) sexual orientation gender identity or expression national origin or ancestry citizenship genetics physical or mental disability age marital status civil union status family or parental status veteran status or any other characteristic protected by law. As part of this commitment Everest will ensure that persons with disabilities are provided reasonable accommodations. If reasonable accommodation is needed to participate in the job application or interview process to perform essential job functions and/or to receive other benefits and privileges of employment please contact Everest Benefits at
Required Experience:
Unclear Seniority
Employment Type
Full-Time
