SmartSuite for the Ethics and Compliance Lead
The Ethics and Compliance Lead runs the ethics programme: the code of conduct, conflicts of interest, gifts and hospitality, training, the speak-up channel and the investigations that follow. They make sure the culture matches the policies and report ethics metrics to the board.
What you own
- Maintain the code of conduct and related policies
- Run the conflicts of interest and gifts and hospitality disclosure processes
- Operate the speak-up channel and triage reports
- Oversee ethics investigations and case management
- Deliver ethics and compliance training and track completion
- Report ethics metrics and culture indicators to leadership and the board
Where the role sits
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Owns
accountable for the process
Touches
contributes or approves
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How SmartSuite supports this role
Policy management. Manages the code of conduct and ethics policies with attestation tracking so every employee's acknowledgement is evidenced.
Compliance management. Runs disclosure workflows for conflicts, gifts and hospitality with approvals and a searchable register.
Issues and actions. Handles speak-up reports and investigations as confidential cases with restricted access, tasks and outcomes.
Reporting. Provides dashboards of training completion, disclosures and case metrics for board reporting.
Industry reference
The US Sentencing Guidelines (§8B2.1) and the DOJ's compliance programme evaluation expect a code of conduct, training, a confidential reporting channel and consistent discipline. ISO 37301:2021 covers the programme; ISO 37002:2021 covers whistleblowing management. SOX Sections 301 and 806 protect whistleblowers at listed companies, and the EU Whistleblowing Directive requires internal channels across member states.
Anti-bribery law shapes the content: the FCPA and the UK Bribery Act's adequate-procedures defence. Financial firms add FINRA conduct rules; healthcare providers follow OIG guidance on codes and hotlines; US federal employees follow the Standards of Ethical Conduct (5 CFR 2635).
In their words
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