Compliance & Ethics Principal / Senior Compliance & Ethics Principal
Job Description
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. PPL’s 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
Principal Compliance and Ethics:
The Principal Compliance and Ethics is responsible for managing activities associated with the compliance and ethics program, including compliance risk assessments, policy development, regulatory monitoring, investigations, communications and internal controls. The role oversees compliance programs, including monitoring, investigations, and reporting activities. The role works with cross-functional teams, including legal, HR, and business teams to proactively identify and mitigate risks, resolve compliance issues, support development of policies, facilitate training, and develop communications to promote ethical behavior. The role supports a strong culture of integrity and compliance across the organization.
Senior Principal Compliance and Ethics:
The Senior Principal Compliance and Ethics is responsible for providing strategic leadership for compliance and ethics programs for assigned subsidiaries, business units and/or locations in order to prevent illegal, unethical or improper conduct. The role is responsible for driving continuous improvement, strong compliance performance, and for leading assigned compliance and ethics initiatives, which may include setting direction for compliance risk assessments, policy development, and internal controls in order to ensure adherence to regulatory and company requirements. The role has local administrative responsibility for the PPL Corporation Standards of Integrity, Ethics Helpline, and investigations process and serves as a point of contact for employees to report issues or seek guidance regarding the compliance and ethics program. The role is responsible for maintaining relationships with leadership, including business line President and COO, to ensure collaboration and support for compliance and ethics initiatives, and works with internal teams and business lines to strengthen compliance practices. The role is responsible for monitoring compliance and ethics culture and working with leadership to promote and sustain a strong compliance and ethics culture. The role has adequate resources and authority, including appropriate access to information within the business lines, to fulfill the role and is required to think independently and exercise that independence, when necessary, to comply with the requirements of the position. This employee is recognized as an internal and external expert/thought leader in the compliance and ethics profession. #LI-Hybrid #INDRIE
Responsibilities
Principal Compliance and Ethics:
- Oversee compliance and ethics programs, including specialized regulatory programs, ensuring policies, procedures, and controls are implemented across business units and aligned with requirements.
- Manage compliance monitoring activities, including audits, assessments, litigation support and reporting processes, to ensure timely identification and resolution of compliance issues.
- Integrate compliance processes and systems across functions to improve coordination, visibility, and consistency in compliance and ethics activities.
- Optimize compliance performance by monitoring key metrics, identifying trends, and implementing improvements to strengthen risk management and program effectiveness.
- Develop and standardize compliance policies, procedures, and training materials to ensure understanding and application across the organization.
- Expand collaboration with internal teams and external stakeholders to resolve compliance issues and enhance overall program effectiveness.
- Support compliance communication and training programs that enhance awareness, engagement, and understanding of compliance and ethics requirements and expectations.
- Lead enterprise-wide compliance initiatives to strengthen regulatory adherence and organizational culture.
- Oversee preparation and consolidation of compliance and ethics reports, including investigations and key risk indicators, for review by senior leadership.
- Manage the investigation process to respond to alleged violations of law, regulations, policies, and procedures, including conducting investigations as appropriate.
- Identify potential areas of compliance and ethics vulnerability and risk and assist with program updates to rank the relative compliance risks faced by assigned area.
- Assist with the development and presentation of internal compliance and ethics updates.
- Hybrid work schedule with at least three days per week in-person in the office with periodic remote work and travel.
- Other duties as assigned.
Senior Principal Compliance and Ethics:
- Strategize the enterprise compliance and ethics vision by aligning regulatory requirements, corporate values, and operational practices to strengthen organizational integrity.
- Function as the compliance program lead for assigned subsidiaries, business units and/or locations with respect to all PPL compliance and ethics efforts.
- Support the compliance and ethics programs by developing, maintaining, and communicating compliance policies, controls, and governance frameworks that prevent illegal, unethical and improper conduct and ensure adherence across business units.
- Sponsor and lead enterprise-wide compliance initiatives to strengthen regulatory adherence and organizational culture.
- Develop and support compliance communication and training programs that enhance awareness, engagement, and understanding of compliance and ethics regulatory requirements and expectations.
- Integrate data governance, reporting systems, and performance metrics to improve visibility, accountability, and program effectiveness.
- Maintain expertise in compliance and ethics programs and support 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.
- Collaborate with senior leadership to maintain and nurture culture of compliance and ethics.
- Manage the investigation process to respond to alleged violations of law, regulations, policies, and procedures, including conducting investigations as appropriate.
- Monitor, and as necessary, coordinate compliance and ethics activities of other departments to remain abreast of the status of relevant compliance and ethics activities.
- Identify potential areas of compliance and ethics vulnerability and risk and assist with program updates to rank the relative compliance risks faced by assigned subsidiaries/business lines.
- Assist with the development and presentation of compliance and ethics updates to senior leadership and the Audit Committee, including risk exposures, investigation outcomes, and program effectiveness insights.
- Hybrid work schedule with at least three days per week in-person in the office with periodic remote work and travel.
- Other duties as assigned
Qualifications
Principal Compliance and Ethics:
- Bachelor's Degree is required.
- 15 years of experience with regulatory or legal issues
- Ability to engage and influence
- Strong written and verbal communication skills
- Master's or Law Degree is preferred
- Experience with internal investigations
- Experience in compliance programs
Senior Principal Compliance and Ethics:
- Bachelor's Degree and 20 years of experience are required
- Extensive experience in regulatory or legal issues
- Ability to engage and influence
- Strong written and verbal communication skills
- Master's or Law Degree is preferred
- Experience with internal investigations preferred
- Experience in compliance programs preferred
Principal Compliance and Ethics:
- Bachelor's Degree is required.
- 15 years of experience with regulatory or legal issues
- Ability to engage and influence
- Strong written and verbal communication skills
- Master's or Law Degree is preferred
- Experience with internal investigations
- Experience in compliance programs
Senior Principal Compliance and Ethics:
- Bachelor's Degree and 20 years of experience are required
- Extensive experience in regulatory or legal issues
- Ability to engage and influence
- Strong written and verbal communication skills
- Master's or Law Degree is preferred
- Experience with internal investigations preferred
- Experience in compliance programs preferred
Principal Compliance and Ethics:
- Oversee compliance and ethics programs, including specialized regulatory programs, ensuring policies, procedures, and controls are implemented across business units and aligned with requirements.
- Manage compliance monitoring activities, including audits, assessments, litigation support and reporting processes, to ensure timely identification and resolution of compliance issues.
- Integrate compliance processes and systems across functions to improve coordination, visibility, and consistency in compliance and ethics activities.
- Optimize compliance performance by monitoring key metrics, identifying trends, and implementing improvements to strengthen risk management and program effectiveness.
- Develop