Global Head of Conflicts and Interest Management

hace 7 días


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. The Head of Conflicts of Interest will be responsible for developing strategies and managing a program dedicated to identifying and managing conflicts of interest at Reconocida Empresa.

**Key Responsibilities:**

  • Team Leadership: Oversee a team of compliance professionals who administer the 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.
  • Design and Implementation: Develop and implement a robust conflicts of interest program for all Reconocida Empresa entities.
  • Assessment and Strategy: 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.
  • Disclosure and Reporting: 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.
  • Tracking and Reporting: Track and report violations of policies and procedures to Chief Compliance Officers, Senior Management, and/or the board of directors.
  • Advice and Guidance: Provide advice to the business, senior management, and board on COI risk management and mitigation.
  • Regulatory Engagement: Stay informed about evolving regulatory requirements and ensure company policies and procedures comply with these changes.
  • Audits and Examinations: Coordinate and manage regulatory audits and examinations related to COI topics globally, collaborating with global compliance colleagues as necessary.
  • Ethical Culture Promotion: Promote a strong ethical culture throughout the organization, setting a positive example and encouraging ethical behavior among employees.

**Qualifications:**

  • 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.


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