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Head of Conflicts and Interest Management

hace 2 meses

Madrid, Madrid, España Reconocida Empresa A tiempo completo

About the Role: This position may be based in a global location and reports to the Chief Compliance Officer. Job responsibilities include:

Key Responsibilities
  • Developing and managing a program dedicated to identifying and managing conflicts of interest at Reconocida Empresa.
  • Overseeing a team of compliance professionals and administering the company's conflicts management system, including policies and procedures focused on personal securities trading, gifts and entertainment, restricted securities list maintenance, outside business interests, and avoiding conflicts of interest for control investors.
  • Designing, developing, and implementing a robust conflicts of interest program for all Reconocida Empresa entities.
  • Evaluating existing strategies and establishing new strategies for the enhancement of controls supporting the conflicts of interest program, including enhancements to policies and procedures, systems, and reporting.
  • Assessing various disclosures and submissions for perceived or actual conflicts of interest and recommending the appropriate course of action, in consultation with the chief compliance officers.
  • Tracking and reporting violations of policies and procedures to Chief Compliance Officers, Senior Management, and/or the board of directors.
  • Providing advice to the business, senior management, and board on COI risk management and mitigation.
  • Working directly with global compliance colleagues to support their applicable regulatory obligations, including the preparation and conduct of regulatory examinations and inquiries.
  • Ensuring that compliance policies and procedures are consistent and align with regulatory requirements across all jurisdictions.
  • Providing guidance, mentorship, and support to team members, enabling them to excel in their roles and fulfill compliance objectives effectively.
Requirements
  • A minimum of 10 years of legal or compliance-related experience with a regulated entity in the financial services industry.
  • A minimum of 8 years of experience in a control room environment evaluating conflicts of interest for a globally regulated financial services company would be of advantage.
  • Experience in the development, implementation, and monitoring of adherence to corporate conflicts of interest policies, procedures, and other guidance documents.
  • Experience with securities trading controls would be an asset.
  • Strong analytical, investigative, and problem-solving skills.
  • Strong critical thinking and sound judgment.
  • Strong interpersonal skills, with the ability to effectively communicate and collaborate with diverse teams.
  • Demonstrated ability to handle confidential issues in a professional manner.
  • A bachelor's degree is required.
  • A legal background or a compliance-related professional certification(s) is a plus.