Ethics And Compliance Project Manager Specialist Job in Nasdaq

Your role and responsibilities :

ETHICS PROGRAM FUNCTIONS:

• Support the execution of the Annual Ethics Team Goals.
• Work with Head of Ethics Team and other Ethics Team members to develop, execute and update Ethics Program Training Plan including coordinating with People@Nasdaq, Marketing/Communications and Finance/Procurement (Vendor Risk & Related Party Review).
• Serve as the Project Manager for the creation and execution of the Annual Ethics in Action Training Webinars 10 per year).
• Serve as the coordinator for the standing and ad-hoc committees/working groups for the Ethics Team and work with designated leaders to develop and execute project/activity plans. Committees will include:
• Outside Business Activities and Policy Waivers
• Training, Outreach and Culture
• Systems and Processes
• Policy Management.

CODE UPDATES:

• Identify emerging issues on corporate Codes of Ethics, changes to business and employee inquiries, suggest edits and assists with drafting updates to the Code
• Assist with updating the Code and associated policies for annual review by the Audit Committee
• Assist with special Code of Ethics Projects as identified by Head of Global Ethics Team

COMPLIANCE CERTIFICATION & MONITORING:

• Review data from the HUB to identify and address transaction behavior for potential violations of the Global Trading Policy.
• Serve as Project Manager working with the internal team on the updates and posting/communication of the Prohibited List.

POLICY INVENTORY AND APPROVAL/POSTING PROCESS:

Serve as Project Manager of the Policy Library and Categorization Project including:

• Identifying all policies o Working with the Policy Owners on updates and the cadence/dates for the review of the policies,
• Categorizing all policies,
• Establishing a data library site (searchable),
• Monitoring the review and update process for the policies

ORIENTATION/ONBOARDING:

• Serve as Project Manager for the Ethics Orientation and Onboarding of all new/rehire employees
• Work Closely with the People@Nasdaqmanaged onboarding for new/rehire employees

EDUCATION AND TRAINING:

• Work with members and business/location leaders to develop calendar of training events to provide coverage across locations and business teams.
• Develop and deliver classroom, web-based and other media training programs for all employees designed to promote knowledge of the corporate Code of Ethics and related policies.
• Deliver or coordinate delivery of training to employees (domestic and international travel required post-COVID)
• Collaborate with the OGC in development/delivery of training to ensure the training content meet legal, regulatory and corporate objectives
• Work across Legal and Regulatory Group to capture and report on training completed by team

MONITORING:

• Update the system based on policy changes
• Issue-spot issues with the trade monitoring system
• Receive, review, analyze transaction monitoring data
• Provide weekly reports to the Ethics Team AND Nasdaq Managers highlighting current data and trends
• Manage the escalation process (per the Code of Ethics) associated with violations of the Trading Policy; liaise with Head of Ethics, OGC Employment Lawyer, People@Nasdaq as appropriate.

ETHICS IN ACTION WEBINARS:

• Serve as the Project Manager for the creation and execution of the Annual Ethics in Action Training Webinars 10 per year).
• Collaborate with members of the Ethics Team to identify potential topics for the monthly webinars; presents/obtains input from members of the Ethics Team and People@Nasdaq Team for review.
• Work with counterparts in Communications and People@Nasdaq to coordinate topics and the schedule with other planned communications.

ETHICS WEBPAGE ON INTERNAL INTRANET SITE:

• Project Manager for the content, look, search ability of the Ethics Site on intranet page.

We expect you to have:

• At least 6 years of experience.
• BA/BS Degree qualified in other related discipline, or equivalent work experience.
• Effectiveness in desktop project management tools including Excel