1.    Ethics & Compliance:


o  Ensure the effectiveness of Alpha Data’s compliance program by designing, empowering, and overseeing its practical implementation and functioning.

o  Develop, implement, and enforce comprehensive policies and controls, ensuring compliance with securities laws, publicly traded corporations regulations, governance standards, and global ethical business practices.

o  Build an initial risk profile for Alpha Data based on its current business practices and risk appetite, and lead compliance reviews/audits, risk assessments .

o  Manage conflicts of interest, and gifts & entertainment disclosures made by employees.

o  Conduct investigations to ensure timely, fair, and professional outcomes, including monitoring reported cases, including the execution of disciplinary/corrective actions and propose remediation plans at the conclusion of investigations.

o  Monitor regulatory and industry developments to enhance compliance, ethics, and governance frameworks to meet legal obligations in a complex, dynamic regulatory environment of IT companies.

o  Manage the global corruption and anti-bribery function in all jurisdictions where the company does business.

o  Lead and respond to FCPA, commercial bribery, anti-money laundering (AML), and

corruption governmental inquires made by regulators.

o  Cultivate a culture of integrity through robust training, communications, and by exemplifying ethical leadership. Partner with senior leadership and the Board to provide counsel and strategic advice on compliance, ethics, governance, and related matters.

o  Represent the integrated compliance and governance function with regulators, external parties, and business partners.

o  Keep abreast of changes in securities laws, disclosure requirements, and corporate governance standards, updating company policies accordingly.

o  Counsel senior leadership and the board of directors on compliance matters and provide strategic advice.

o  Oversee third party compliance due diligence and management.

o  Collaborate with legal counsel on compliance matters including contracts, disclosures, mergers, and acquisitions, IPOs, etc.

o  Review M&A deals, contracts, and transactions with business partners and third parties to make them compliant with Alpha Data’s policies.

o  Work cross-functionally across departments to implement an integrated compliance program.

o  Ensure contracts and disclosures meet legal/regulatory obligations for public companies.

o  Manage the compliance to various data protection laws that the organization needs to adhere.


2.    Corporate Governance:


o  Develop and implement corporate governance policies, procedures, and standards aligned with regulations, industry best practices, and investor expectations.

o  Advise the board of directors and executive management on corporate governance matters, providing guidance to uphold fiduciary duties.

o  Develop and manage the company’s delegation of authority.

  • Oversee board appointments/evaluations, director independence and training, committee charters, and other governance operations.
  • Coordinate general meetings, shareholder communications, and filings to uphold transparency.
  • Oversee subsidiary governance structures and alignment with group-wide governance frameworks.

 For now, I would couple the risk management role with compliance.

 Compliance risks usually include the following: Conflicts of Interest; Bribery and Corruption; Money-laundering; Business Courtesies and Sponsorships; Privacy and Cybersecurity; Anti-money Laundering; Intellectual Property; Insider Trading; Records and Information Management; Competition/Antitrust; Economic Sanctions/Export Controls; Theft and Fraud; Workplace Behavior (Discrimination, Harassment, Sexual Harassment); Human Rights, Political Activity; Marketing; Social Media; Product safety; Environment; Health and Safety; Disclosures (e.g., ESG); AI/Machine Learning

 Usually this would be a stand-alone role, especially in a public company. The Corporate Governance Officer usually also holds the responsibility of corporate secretary of the board. In the beginning, it would be ok to place it under compliance; as the company grows, you would need to make it independent. 

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