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Dir., Compliance & Investigations
What great looks like in this role
Our ideal candidate has extensive knowledge of methods in machine learning and Artificial Intelligence, and ideally has practitioner experience. Data, analytics and algorithmic decision making are at the core of MassMutuals digital evolution. In this role you will be responsible for implementing an enterprise program that holistically addresses algorithm governance and enables the delivery of superior customer experiences, trust and loyalty. This leader will be responsible for working with data scientists and other leaders across the organization on policy and implementing processes and systems that inventory, assess, organize, measure, and track the firms algorithmic assets and models.
Objectives of the role
- Deliver a principles-driven, adaptive policy framework to inventory, assess, organize, measure, and track MassMutuals AI assets across the enterprise.
- Champion and facilitate adoption of the framework to enable confident innovation with machine learning and algorithmic decision making across all business channels.
- Establish and maintain the program and be responsible for identifying and following trends in the broader global marketplace.
Daily and Monthly Responsibilities
- Collaborate and partner with other leaders across our data science team, business channels, law, compliance and enterprise risk, and information security for best practices and execution.
- Develop and implement algorithm standards and standards of use.
- Establish quantitative measures of policy compliance including algorithm measures that include performance, fairness, accountability, transparency, and auditability.
- Collaborate with various departments to establish automated processes that collect and compute measures of progress.
- Continuously improve and advocate enterprise data, algorithm and AI governance policies.
- Maintain a strategic roadmap for AI governance roll-out across the enterprise.
- Create and maintain a meta-data asset that accurately characterizes the firms algorithms through time, as well as their adherence to governance policies.
- Identify and engage AI leaders across the enterprise and coordinate with them to achieve adoption and consistency of governance across business channels.
- Stay up-to-date and informed on emerging practices for improving algorithm and AI governance practices.
Basic Qualifications
-
Bachelors degree in Science, Technology, Engineering or Mathematics (STEM).
- Financial services knowledge, including core business processes and regulations.
- Knowledge of methods in machine learning and artificial intelligence. Practitioner experience considered a strong plus.
- Knowledge of metrics associated with characterizing performance, bias, variance, and error of algorithms and predictive models.
- Extensive experience establishing and executing complex, strategic, cross-functional enterprise programs.
- Able to work independently.
- Experience creating KPIs and using them to manage execution and inform strategy.
- Exceptional communication skills, both written and verbal.
- Exceptional influencing abilities across all levels of the organization.
- Authorized to work in the USA with or without sponsorship.
Preferred Qualifications
- Advanced degree preferred (M.S., M.B.A., J.D.).
- Knowledge of reference data architectures and models for financial services (insurance and retirement plans).
- Expertise with the following are considered a strong plus: software development/DevOps, financial industry regulations, GDPR, vendor management, and agile methodologies.
- Work in Boston Office.
- Some travel to Springfield, Amherst and New York.
As an Ethics Attorney for the CIA, you will provide ethics advice to Agency personnel, review financial disclosure forms, conduct ethics training, and consult with the Office of Government Ethics on ethics issues.
Enterprise Functions at the CIA – Office of the General Counsel
The Office of the General Counsel (OGC) is part of the CIA’s Enterprise Functions, which provides governance and oversight to the business of intelligence effort across the Agency at Headquarters and in locations worldwide. OGC is an independent office of the CIA that provides legal advice and guidance to the Agency and to the Director of the CIA. Learn more about the Office of General Counsel.
Life at CIA
In addition to a comprehensive benefits package, the CIA offers exciting career opportunities and a dynamic environment. We’re on the forefront of world-altering events – as they happen. So working here isn’t just a job, it’s a mindset and a lifestyle.
US citizenship required (dual-national US citizens eligible). All positions require relocation to the Washington, DC metro area.
Minimum Qualifications:
- Juris Doctor (JD) degree from an ABA-accredited law school
- Active bar membership from any of the 50 states, District of Columbia, Puerto Rico, or the US Virgin Islands
- GPA of at least a 3.0 on a 4-point scale
- Minimum of three (3) years of attorney experience in Executive Branch ethics issues doing the following:
- Providing ethics advice to current and former Executive Branch employees
- Reviewing confidential and public financial disclosure forms (OGE 450 and OGE 278, respectively)
- Conducting ethics training
- Consulting with the Office of Government Ethics on ethics issues
All applicants must successfully complete:
- A thorough medical and psychological exam
- A polygraph interview
- A comprehensive background investigation
To be considered suitable for Agency employment, applicants must generally not have used illegal drugs within the last 12 months. The issue of illegal drug use prior to 12 months ago is carefully evaluated during the medical and security processing.
The Ethics & Compliance Integrated Supply & Trading (“IST”) Analyst is a key member of the Ethics & Compliance (“E&C”) IST team supporting Global Oil Americas (GOA) business unit. The position is responsible for executing the IST compliance framework by performing surveillance of business transactions and communications, delivering training on compliance topics and providing guidance to the business to ensure compliance with rules, regulations and internal policies and procedures related to the trading and marketing of energy commodities within GOA. The purpose of the Ethics & Compliance IST function is to promote compliance with externally defined laws and regulations, the BP Code of Conduct, Global Trading Guidelines and other internal BP policies and procedures, through the development, implementation and maintenance of a program consistent with Group E&C strategy
- The position will report to the Compliance Manager and is responsible for performing surveillance of business activities, delivering compliance training and providing guidance in support of the overall E&C IST compliance program.
- Understanding the laws, regulations and company ethical standards (BP’s Values & Behaviors) in key risk areas arising out of the GOA businesses relating to Commodities Futures Trading Commission (“CFTC”), Federal Energy Regulatory Commission (“FERC”) and Alberta Securities Commission (“ASC”) and on or off exchange (e.g. NYMEX, ICE, NGX) rules and regulations.
- Form strong relationships with business unit personnel – Legal, Regulatory Affairs, Commodity Risk, Finance and Information Technology.
- Primary focus of the role is to perform surveillance of business activities, deliver effective training and provide timely guidance to the business to ensure compliance with all laws, regulations and internal policies and procedures.
- Facilitate compliance risk assessment and effectively execute the compliance program meeting Ethics & Compliance IST functional standards within the GOA Business Unit.
- Conduct proactive compliance assessments of trading activity, strategies and business communications in order to ensure compliance with applicable rules and regulations enacted by external regulatory authorities (i.e. CFTC, FERC, and exchanges) as well as BP’s internal policies and procedures.
- Support training of IST Staff on regulatory and compliance requirements and BP’s policies and procedures related to trading compliance.
- Participate in trading team meetings in order to better understand strategies and advise on Ethics & Compliance issues so as to facilitate the creation of a robust ethical and compliant culture.
- Work with IT&S and the GOA Business Unit to assist in the development of compliance monitoring projects being undertaken
Essential Education:
- BA, BS or other equivalent degree.
Essential Experience and Job Requirements:
- Understanding of Oil and Refined Products trading business (i.e., instruments, exposures, valuations, strategies and vernacular).
- Strong technical skills (e.g., Microsoft Excel, Tableau).
- Strong work ethic, initiative and creativity to achieve identified goals, both individually and as a team player working in a fast-paced environment.
- Strong interpersonal skills – capable of adopting a variety of styles to achieve the desired result.
- Demonstrate ability to build consensus with diverse stakeholders.
- Strong presentation, oral and written communication skills.
About BP:
We are a global energy business involved in every aspect of the energy system. We have 75,000 employees in 80 countries, working towards delivering light, heat and mobility to millions of people, every day. We are one of the very few companies equipped to solve some of the big complex challenges that matter for the future. We have a real contribution to make to the world’s ambition of a low carbon future. Join us, and be part of what we can accomplish together.
Legal disclaimer
If you are selected for a position in the United States, your employment will be contingent upon submission to and successful completion of a post-offer/pre-placement drug test (and alcohol screening/medical examination if required by the role) as well as pre-placement verification of the information and qualifications provided during the selection process. The drug screen requires a hair test for which BP must be able to obtain a sufficient hair sample for analysis (~4 cm/1 ½” scalp, or > 2 cm/¾” body – arms & armpits/legs/chest)
As part of our dedication to the diversity of our workforce, BP is committed to Equal Employment Opportunity. Applicants will receive consideration for employment without regard for race, color, gender, religion, national origin, disability, veteran status, military status, age, marital status, sexual orientation, gender identity, genetic information or any other protected group status. We are also committed to providing reasonable accommodations for qualified individuals with disabilities and disabled veterans in our job application procedures. If you need assistance or an accommodation due to a disability, you may contact us or have one of your representatives contact us at BPUSApplicationAssis@bp.com or by telephone at 281.366.1999.
Read the Equal Employment Opportunity is the Law poster and the poster supplement – for more information about Equal Employment Opportunities. (Spanish version)
BP is an equal employment opportunity and affirmative action employer. View our policy statement.
Job Requirements
Tasks:
- Oversees USAA’s comprehensive ethics function, including the development of enterprise ethics communications, policies, guidelines, and program administration in compliance with Sarbanes Oxley.
- Develops and implements strategies for all activities relating to standards of conduct and ethical relationships with members, contractors, suppliers, employees, and the communities in which USAA conducts business.
- Ensures appropriate program standards and controls are in place to maintain a compliant Ethics program and mitigate risk to the Enterprise.
- Partners with Legal, Corporate Investigations, and Human Resources to develop procedures for investigating and resolving allegations, addressing violations of standards, and enforcing required disciplinary actions.
- Oversees the development, communication, distribution strategy, and tracking of all ethics-related materials and tracking of required employee ethics training.
- Provides expert advice and interpretation of the code of conduct to business leaders and other internal partners, including the applicability of the organization’s policies and programs to specific situations.
- Interacts and collaborates with all levels of the organization across multiple functions, including CEO, the Board of Directors, Ethics Council, Legal Counsel, and all other senior management to stay abreast, monitor, prevent, and train on ethics activities that may affect business practices.
- Oversees the annual Enterprise-wide Ethics Risk Assessment and Mitigation Process and apprises senior management of the results. Maximizes current strengths of the ethics program, identifies and remedies gaps, proactively assessing and addressing emerging compliance risks.
- Responsible for ensuring the Code of Conduct, compliance standards, and controls are current and meet new compliance laws, regulations, and client contractual obligations.
- Collaborates with the reporting and analytics team to provide reports and program effectiveness measures to senior management, governing committees, ethics council, and the board of directors on the effectiveness of the ethics programs.
- Builds and oversees a team of professionals through ongoing execution of recruiting, development, retention, coaching and support, performance management, and other managerial activities.
Minimum Education:
- Bachelor’s degree required.
- 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree.
Minimum Experience:
- 10 years of progressive ethics, compliance and/or business consulting and analysis related experience developing strategies, managing major initiatives and delivering results within a complex matrix environment required
- 6 years of people leadership experience in building, managing and/or developing high-performing teams required
- Recent experience in a large, complex organization
- Expert knowledge of ethics-related topics, current regulatory issues and industry best practices required
- Advanced knowledge of related data sources, data analysis tools, and reporting techniques
- Superior presentation skills with experience presenting to senior executives, clients and larger audiences
- Demonstrated ability to use Microsoft Office products to develop analyses, charts, learning modules and/or other documentation
- Experience collaborating with senior leadership, key resources, and stakeholders, influencing decisions, and managing work to achieve strategic goals
Preferred Experience:
- J.D. Degree preferred
- Certified Compliance Ethics Professional-Fellowship (CCEP-F)
- Recent internal Line-of-Business (LOB) experience within insurance, banking, or investments industry
- Familiarity with project management and process engineering principles
- Previous employee training experience preferred