Director-Compliance & Ethics

4 weeks ago

Allentown, United States PPL Full time

Company Summary Statement :
As one of the largest investor-owned utility companies in the United States, PPL Corporation (NYSE: PPL), is committed to creating long-term, sustainable value for our 3.5 million customers, our shareowners and the communities we serve. Our high-performing regulated utilities PPL Electric Utilities, Louisville Gas and Electric, Kentucky Utilities and Rhode Island Energy provide an outstanding experience for our customers, consistently ranking among the best utilities in the nation. PPLs companies are also addressing challenges head-on by investing in new infrastructure and technology that is creating a smarter, more reliable and resilient energy grid. We are committed to doing our part to advance a cleaner energy future and drive innovation that enables us to achieve net-zero carbon emissions by 2050 while maintaining energy reliability and affordability for the customers and communities we serve. PPL is a positive force in the cities and towns where we do business, providing support for programs and organizations that empower the success of future generations by helping to build and maintain strong, diverse communities today.

Overview:

The Director of Compliance and Ethics drives the establishment and maintenance of an effective corporate compliance and ethics program for assigned subsidiaries and/or business units to prevent illegal, unethical, or improper conduct, with local administrative responsibility for the PPL Corporation Standards of Integrity, the Ethics Helpline and the investigations process. Responsible for leading assigned compliance and ethics program initiatives. Maintains relationships with leadership, including business line President and COO, to ensure collaboration and support for compliance and ethics initiatives. Monitors compliance and ethics culture and partners with business line leadership to promote and sustain a strong compliance and ethics culture. Serves as a point of contact for employees to report issues or seek guidance regarding the compliance and ethics program. Has adequate resources and authority (including appropriate access to information within the business lines) to fulfill the role. Has management responsibility for compliance and ethics personnel. Additionally, has a responsibility to think independently and exercise that independence when necessary to comply with the requirements of the position.

This position will be located in our Allentown, PA office on a hybrid schedule.

Responsibilities:
  • Functions as the compliance program lead for assigned subsidiaries/business units with respect to all PPL compliance and ethics efforts and is representative for the PPL Compliance Working Group, which is a working group on compliance and ethics issues that supports the work of the PPL Corporate Compliance Committee.
  • Supports the development, maintenance, revision and communication of policies and procedures for the general operation of the compliance and ethics program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the local aspects of the PPL compliance and ethics program.
  • Maintains expertise in compliance and ethics programs and supports the development, periodic review and update of the corporate compliance and ethics program to ensure continuing currency and relevance in providing guidance to management and employees.
  • Collaborates with senior leadership to maintain and nurture local culture of compliance and ethics.
  • Consults with CCO as needed to resolve difficult compliance issues.
  • Manage the investigation process to respond to alleged violations of law, regulations, policies, and procedures, including at times conducting investigations as appropriate.

  • Monitors, and as necessary, coordinates compliance and ethics activities of other departments to remain abreast of the status of relevant compliance and ethics activities and to identify trends.

  • Identifies potential areas of compliance and ethics vulnerability and risk and assists with program updates to rank the relative compliance risks faced by assigned subsidiaries/business lines.
  • Provides reports on a regular basis to keep senior management and the Board of Directors informed of the operation and progress of compliance and ethics efforts and violations.
  • Works with others as appropriate to develop an effective compliance and ethics communication and training program, including appropriate introductory training for new employees and ongoing training for all employees and managers.
  • Monitors the performance of all compliance and ethics programs and related activities on a continuing basis and takes appropriate steps to improve their effectiveness.
  • Normally physically present in the office/onsite to engage in face-to-face interaction and coordination of work among direct reports and co-workers, but periodic remote work and travel as anticipated.
  • Other duties as assigned.


Qualifications:

Basic Qualifications

  • 10 or more years of management experience, with extensive experience in regulatory or legal issues.
  • Ability to engage and influence senior leaders across multiple business lines
  • Ability to direct and influence activities of others beyond normal reporting relationships
  • Bachelor's Degree
  • Strong general management skills
  • Strong written and verbal communication skills
  • Ability to link business objectives with department/company initiatives

Preferred Qualifications

  • Program and policy development
  • Experience with internal investigations
  • Experience in compliance programs such as Health and Safety, Environmental or Sarbanes-Oxley
  • Project Management
  • Master's or Legal Degree
  • Experience with training and communications for large groups of individuals

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