Director Of Risk & Professional Standards, Financial & Retirement Services

Intro
We believe that every candidate brings something special to the table, including you! So, even if you feel that you're close but not an exact match, we encourage you to apply. We'd be thrilled to receive applications from exceptional individuals like yourself.
Discover a world of endless possibilities at Gallagher Benefit Services, where you'll have the power to shape the future of workplaces across industries. As a member of our team, you become the driving force behind positive change, helping clients build environments where employees thrive. Embrace the opportunity to impact lives, unlock potential, and create a legacy of remarkable transformation.
Overview
The Director ofProfessional Standards is responsible for overseeing and ensuring the adherence to Professional Standards within Gallagher Benefit Services. This role involves developing, implementing, and monitoring policies, procedures, and guidelines to maintain high ethical and Professional Standards across the Financial and Retirement Services Business Line globally. Working directly with compliance counsel and policy advisers, the Director ofProfessional Standards serves as a critical component of the divisional risk management program, establishing policy, procedures, and conducting internal reviews to confirm controls are working as intended.
Responsibilities

1. Develop and implement Professional Standards policies and procedures: Create and maintain a comprehensive set of Professional Standards policies and procedures that align with industry best practices and regulatory requirements. Ensure these policies are communicated effectively to all employees.
2. Monitor compliance with Professional Standards: Regularly assess and monitor the organization's compliance with Professional Standards. Conduct audits, reviews, and investigations to identify any potential violations or areas of improvement. Develop and implement corrective actions as necessary.
3. Provide guidance and support: Serve as a resource for employees, managers, and executives on matters related to professional conduct, ethics, and compliance. Offer guidance and support in resolving ethical dilemmas and ensuring adherence to Professional Standards.
4. Training and education: Develop and deliver training programs to educate employees on Professional Standards, ethical behavior, and compliance requirements. Stay updated on industry trends and changes in regulations to ensure training materials are current and relevant.
5. Reporting and documentation: Maintain accurate records and documentation related to Professional Standards, including complaints, investigations, and resolutions. Prepare reports and presentations for management and regulatory bodies as required.
6. Collaboration and communication: Collaborate with various departments and stakeholders to ensure consistent understanding and implementation of Professional Standards. Foster a culture of open communication and transparency regarding Professional Standards and compliance.
7. Continuous improvement: Continuously evaluate and improve Professional Standards policies, procedures, and practices. Stay informed about emerging trends and best practices in Professional Standards and ethics, and recommend updates or changes as necessary.

Qualifications

• Bachelor's degree in business administration, law, or a related field. A master's degree is preferred.
• Proven experience developing compliance and Professional Standards programs in the financial services industry, which includes knowledge of regulatory frameworks as established by the SEC, FINRA, Departments of Insurance and other regulatory bodies.
• Strong knowledge of Professional Standards, ethics, and compliance requirements.
• A minimum of five years overseeing the development and maintenance of financial and Retirement Services policy and procedure manuals
• Proven experience drafting, amending, and maintaining policies and operating standards
• Excellent analytical and problem-solving skills.
• Exceptional communication and interpersonal skills.
• Ability to build and maintain effective relationships with employees at all levels of the organization.
• Strong attention to detail and ability to handle confidential information with discretion.
• Proficient in using technology and software applications relevant to the role.

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Additional Information
Click Here to review our U.S. Eligibility Requirements
We offer competitive salaries and benefits, including: medical/dental/vision plans, life and accident insurance, 401(K), employee stock purchase plan, educational expense reimbursement, employee assistance program, flexible work hours (availability varies by office and job function), training programs, matching gift program, and more.