Ethics and Compliance Officer Job Description and Responsibilities

The Ethics and Compliance Officer is responsible for developing, implementing and maintaining compliance and ethics programmes across an organisation. Candidates with experience in regulatory compliance, corporate governance, internal investigations or legal advisory roles should apply. This role suits professionals who can combine legal understanding with practical risk management and stakeholder engagement.

Ethics and Compliance Officer Job Profile

The Ethics and Compliance Officer leads the design and delivery of policies, controls and training that ensure the organisation meets legal and ethical obligations. The role promotes a culture of integrity, mitigates compliance risk and supports senior management with timely advice on regulatory and ethical matters.

This position typically reports to a head of compliance, general counsel or chief risk officer and works across business units to translate regulatory requirements into operational practice. The officer monitors emerging regulatory developments and coordinates responses to audits and regulatory enquiries.

Ethics and Compliance Officer Job Description

The Ethics and Compliance Officer develops and maintains an effective compliance framework, including policies, procedures and monitoring programmes. They conduct risk assessments, design control activities and track remediation to reduce exposure to legal, regulatory and reputational risks. The officer supports investigations into alleged breaches and coordinates corrective actions.

In addition to oversight and assurance activities, the role involves advising leaders and business units on regulatory requirements and ethical standards. The officer delivers training and communications to embed compliance behaviours, liaises with external regulators when required and prepares regular reporting for senior management and governance committees.

Work is typically a mix of policy work, case management and stakeholder engagement. The role requires analytical rigour, clear written and verbal communication, and the ability to manage confidential information with discretion.

Ethics and Compliance Officer: Duties and Responsibilities

• Develop, review and maintain compliance and ethics policies, codes of conduct and related procedures.
• Conduct compliance risk assessments and prioritise areas for monitoring and remediation.
• Design and execute monitoring programmes and compliance testing to assess control effectiveness.
• Lead or support internal investigations into alleged misconduct, breaches or conflicts of interest.
• Prepare clear, evidence based investigation reports and recommend corrective actions.
• Provide practical compliance advice to business units and senior management on regulatory obligations.
• Deliver training and awareness programmes to promote ethical behaviour and regulatory compliance.
• Manage third party due diligence processes, including risk screening and ongoing monitoring.
• Maintain records and documentation to demonstrate compliance activities and decisions.
• Monitor changes in law and regulation and assess impact on company policies and processes.
• Coordinate responses to regulatory enquiries, audits and external reviews.
• Report compliance metrics, trends and key risks to senior management and governance bodies.
• Support remediation planning and track implementation of corrective measures.
• Foster a culture of integrity through engagement, coaching and clear communication.

Ethics and Compliance Officer: Requirements and Qualifications

• Degree in law, business, finance, risk management or a related discipline.
• Proven experience in compliance, ethics, regulatory affairs or legal practice, typically three to five years or more.
• Practical knowledge of relevant regulatory frameworks and corporate governance principles.
• Experience conducting investigations and preparing fact based reports.
• Strong analytical skills with attention to detail and ability to interpret complex regulations.
• Excellent written and verbal communication skills for diverse stakeholder audiences.
• Ability to manage confidential information with discretion and professional judgement.
• Experience delivering training and change programmes to embed compliance practices.
• Proven ability to influence and build relationships across functions and seniority levels.
• Organisational skills to manage multiple priorities and meet reporting deadlines.
• Familiarity with risk assessment methodologies and control frameworks.
• Ethical mindset and commitment to corporate integrity and continuous improvement.