MetLife

Role Value Proposition:  

Compliance Risk Management (CRM) delivers a compliance risk framework that enables the businesses and functions to comply with applicable internal and external rules and regulations and maintain risk levels within MetLife’s risk appetite. CRM provides constructive challenge to the businesses and functions, partnering closely with them to implement strong processes and effective controls, as well as to foster and embed a culture of compliance. CRM is part of Global Risk Management.

Within CRM, the Governance, Customer Protection & Employee Conduct Compliance team has the responsibility for the execution and oversight of MetLife’s global customer protection and employee conduct compliance programs which drive appropriate business practices and adherence to the firm’s standards for employee conduct risk management. The Lead Compliance Consultant is responsible for advising Human Resources and the lines of business on establishing and maintaining a comprehensive accountability and rewards system that reinforces MetLife’s purpose, strategy, and Code of Business Ethics and applicable law. The role is also responsible for evaluating escalated conflicts of interest and allegations of related misconduct and advising on the appropriate actions to mitigate risk, including appropriate disciplinary action when warranted.

This person will serve as a thought leader capable of driving change and having enterprise-wide impact. The role requires a proactive and strategic thinker who has a collaborative mindset and influencing capabilities. This role will provide advice and guidance to the Business, Human Resources, and country Compliance officers across the globe.  

Key Responsibilities:  

• Serve as lead CRM subject matter expert on the key pillars of employee conduct risk management including supervision, incentives and rewards, and disciplinary frameworks.  Advise Human Resources and business leaders on employee conduct risk management. Stay informed on the demands of a rapidly changing business and regulatory environment by anticipating problems, offering appropriate solutions, and providing the leadership necessary to effectively manage current and emerging employee conduct risks. 
• Evaluate possible employee conflicts of interest, requests for outside business activity pre-clearance, and related allegations of misconduct. Provide advice regarding measures required to mitigate risks, and the severity of policy violations and other misconduct. Partner with Employee Relations and other stakeholders to determine the appropriate disciplinary action, if any. 
• Provide guidance, training and ongoing support to Compliance Officers globally to continuously improve their ability to identify and address conflicts of interest, advise on the impact of policy violations and support the disciplinary process to support fair and appropriate outcomes. Perform quality reviews of Compliance guidance to managers and employees related to disclosed activities.
• Maintain the Global Employee Conflicts of Interest Policy, perform annual policy reviews and update as needed to keep it current and fit-for-purpose. Develop and deploy related training and communications as needed. 
• Maintain the Code of Business Ethics, facilitate the annual stakeholder review, update as needed to keep it current and fit-for-purpose. Develop and deploy related training and communications including the annual employee attestation process.
• Serve as a thought leader on identifying and managing emerging employee conduct risks.
• Drive and own transformation initiatives to advance the simplicity and effectiveness of the employee conduct compliance program.
• Identify potential compliance gaps; develop and oversee implementation of remediation strategies.
• Champion a strong speak up and risk culture, and integrity at all levels of the organization through an effective training and communications strategy which builds upon MetLife’s core values.
• Additional responsibilities as assigned by the VP and Head of Governance, Customer Protection & Employee Conduct Compliance.
• Contribute to a positive and supportive team culture that embraces change and succeeds through both collaboration and individual accountability.   

Essential Business Experience and Technical Skills:

• Bachelor’s degree or relevant experience 
• 10+ years or relevant experience in compliance, conduct risk management and/or ethics, preferably with a medium to large financial services firm  
• Experience in reviewing and enhancing compliance and / or conduct risk programs to reflect business and regulatory expectations
•  Experience designing and implementing conduct risk, conflicts of interest, and/or disciplinary frameworks strongly preferred.  
• Excellent written and oral communication skills with the ability to digest, summarize and present content quickly and clearly to senior leadership
• Demonstrated ability to identify, escalate and resolve issues
• Demonstrated ability to exercise sound judgment in advising stakeholders to effectively manage risk 
• Demonstrated ability to work independently as well as collaboratively across Compliance and other business lines and enterprise functions 
• Be proactive and influential to deal with rapid changes, and capable of handling multiple and competing priorities simultaneously 
• Ability to build rapport with key risk partners and interface with the business and corporate functions to facilitate conduct risk management globally 
• Sound judgement and solution-minded creativity to address emerging trends and issues quickly and effectively