Associate Director – Ethics and Compliance

Overview

The Associate Director (AD) – Ethics and Compliance reviews, evaluates and/or investigates compliance issues and/or concerns throughout the organization. The AD monitors systems and processes in place to promote compliance with laws, regulations, and Counterpart’s policies and procedures, including the Code of Conduct. The role also conducts fraud and compliance awareness trainings and education outreach. He/she works with staff to promote an organizational culture that encourages ethical conduct, stressing the importance of carrying out one’s professional duties in a manner that contributes to the company’s reputation for ethical business practices. The AD executes tasks independently and provides oversight to Counterpart’s business conduct activities under the supervision of the Senior Director of Grants, Contracts and Compliance (GCC). The AD delivers specialized, functional services, including training, policy and procedure development, internal investigations, controls auditing, risk management, or other tasks.

Responsibilities

Compliance

• Manage retaliation-free reporting channels, including Counterpart’s Whistleblower hotline, and ensure that the reporting system is adequately publicized.
• Conduct and/or oversee any due diligence reviews or investigations (compliance) from the whistleblower hotline or reports from other sources. Coordinate and cooperate with HR as applicable depending on the nature of the investigation.
• Develop and update processes, roles and responsibilities and communication protocols for reporting and investigating reports of possible compliance violations.
• Create and implement processes to monitor and perform audits/reviews to proactively test compliance with Counterpart’s policies, Global Code of Conduct, and client/ donor’s rules and regulations. (e.g. employee vetting, gifts registration, conflict of interest) and management of files and records.
• Oversee follow up, and as applicable, resolution to investigations and other compliance issues, including the development of corrective action plans, as needed.
• Track all business conduct and ethical issues referred to GCC and Human Resources and analyze trends and root causes; develop reports and other information for senior management and the Board of Directors Audit Committee.
• Manage and track annual staff Conflict of Interest disclosures and mitigation plans.
• Develop, coordinate, and track appropriate compliance trainings and education for all Counterpart employees, both in the DC-Office and in project offices to educate and raise awareness to applicable regulatory compliance, Counterpart’s Global Code of Conduct, and values.
• Develops and oversees the implementation of a program to educate and communicate the importance of ethical behavior to all employees, board members, vendors, consultants and grantees.
• Develop mechanisms to provide feedback and lessons learned to business units or project offices to strengthen internal controls, improve policies and procedures to mitigate corporate risk.
• Enhance subject matter expertise on various compliance topics, including fraud, conflict of interest, grant management, child safeguarding and contribute to developing/revising manuals, guidance, templates, and tools.
• 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 issues in the future.

Risk Management

• Contribute to regular risk assessments to identify emerging risks and ensure that mitigation strategies remain relevant and effective.
• Conduct or commission audits of field offices to ensure compliance with internal policies, procedures, and external regulations.
• Monitor and report on risk management activities to senior management, including the identification of trends and emerging risks.
• Deliver risk management training to field office staff to enhance risk awareness and management capabilities.

General Responsibilities

• Minimize risk to organization by proactively identifying potential problems and offer options, solutions and/ or troubleshooting.
• Represent Counterpart at conferences, professional forums, workshops, events related to programming, and/or compliance practices.
• Maintain a current understanding of regulatory trends and changes in laws and best practices and advise management.
• Cultivate positive relationships and collaborate with cross-functional teams.
• Perform other duties as assigned.

Annual Salary Range: $92,000-$148,000

Qualifications

• Master’s Degree or higher in accounting, finance, business administration, compliance or law, plus a minimum of 10 years of relevant experience, or equivalent combination of education and experience is required, 7 to 10 years’ experience in Ethics & Compliance, Legal, Audit or related functions.
• Demonstrated knowledge of USG regulations under 2 CFR 200/ 700, CFRs, OMB Circulars, and donor regulations, specifically on USAID and USDA programs. FAR/AIDAR experience is a plus.
• Credential such as Certified Fraud Examiner (CFE), Certified Internal Auditor (CIA), Certified Compliance and Ethics Professional (CCEP), or Leadership Professional in Ethics & Compliance (LPEC) or equivalent preferred.
• Majority of experience in international development or other relevant industry, with experience working with overseas project offices.
• Fluent written/spoken English required; second language such as French or Spanish, preferred.
• Strong ability to handle complex or risky technical/compliance issues/problems and investigations.
• Advanced verbal and written communications skills to effectively communicate in a clear and concise manner to executives, auditors, lawyers, and non-lawyers.
• Ability to resist pressure to compromise corporate values even if pressured to do so.
• Track record of demonstrating integrity, even when inconvenient.
• Meticulous attention to detail, as well as outstanding critical thinking and proactive problem-solving skills
• Proven ability to prioritize and follow-through.
• Must be able to work with and communicate effectively cross-functionally at all levels in the organization.
• Alignment with Counterpart’s core values.
• Ability to travel internationally (approximately 5-10%) to developing countries as needed.