Global commercial bank located in Midtown Manhattan looking to bring on board a “Compliance Officer, Conflict Management Group, Director” to join their team. This role is currently in a hybrid schedule (3 days in office).
Responsibilities:
Maintain the information barriers that prevent the misuse of material non-public information in the organization.
Review conflicts of interest that may arise from business dealings of the organization and administer the global conflicts policies for our Americas activities
Provide advice to the business areas on transactions from a conflicts management standpoint.
Advise on information barriers, including physical premises.
Determine where conflicts arise in the business areas and establish the correct protective barriers to prevent the misuse of confidential and/or inside information.
Maintain the conflicts database by ensuring all conflicts are properly captured in the system.
Maintain close coordination with the conflicts clearance function, keeping all members fully aware of proceedings in the Americas and serve as a backup location whenever necessary.
Maintain and update the US conflicts policies and procedures to ensure they are in agreement with Global policies as well as US laws and regulations concerning the topic.
Manage wall-crossings, insider lists and staff above the wall lists.
Train business units on conflict management, control room, investment banking and financing advisory topics.
Review conflicts of interest relating to outside business activities, personal trading and data transfers.
Assist with ad hoc investigations.
Provide responses to regulatory and audit inquiries.
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Legal
Industries
Staffing and Recruiting
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