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Senior Compliance Officer

hace 2 meses

Madrid Centro, Madrid, España Reconocida empresa A tiempo completo

About the Role:

This position reports to the Global Chief Compliance Officer and is responsible for developing and implementing strategies to identify and manage conflicts of interest at Reconocida empresa.

Key Responsibilities:

  1. Team Leadership: Oversee a team of compliance professionals responsible for administering the company's conflicts management system, including policies and procedures focused on personal securities trading, gifts & entertainment, restricted securities list maintenance, outside business interests, and avoiding conflicts of interest for control investors.
  2. Design, Develop and implement a robust conflicts of interest program for all Reconocida empresa entities.
  3. Assess existing strategies and establish new strategies for the enhancement of controls supporting the conflicts of interest program, including enhancements to policies and procedures, systems, and reporting.
  4. Evaluate various disclosures and submissions for perceived or actual conflicts of interest and recommend the appropriate course of action, in consultation with the chief compliance officers.
  5. Track and report violations of policies and procedures to Chief Compliance Officers, Senior Management, and/or the board of directors.
  6. Provide advice to the business, senior management, and board on COI risk management and mitigation.
  7. Work directly with global compliance colleagues to support their applicable regulatory obligations, including the preparation and conduct of regulatory examinations and inquiries.
  8. Ensure that compliance policies and procedures are consistent and align with regulatory requirements across all jurisdictions.
  9. Provide guidance, mentorship, and support to team members, enabling them to excel in their roles and fulfill compliance objectives effectively.

Additional Responsibilities:

  1. Liaise with the risk management function to ensure compliance-related risks are part of the risk assessment process.
  2. Stay informed about evolving regulatory requirements and ensure company policies and procedures comply with these changes.
  3. Coordinate and manage regulatory audits and examinations related to COI topics globally, collaborating with global compliance colleagues as necessary.
  4. Promote a strong ethical culture throughout the organization, setting a positive example and encouraging ethical behavior among employees.

Requirements:

  1. A minimum of 10 years of legal or compliance-related experience with a regulated entity in the financial services industry.
  2. 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 an advantage.
  3. 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.
  4. Strong analytical, investigative, and problem-solving skills.
  5. Strong critical thinking and sound judgment.
  6. Strong interpersonal skills, with the ability to effectively communicate and collaborate with diverse teams.
  7. Demonstrated ability to handle confidential issues in a professional manner.
  8. A bachelor's degree is required.

A legal background or a compliance-related professional certification(s) is a plus.