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Compliance Officer, Conflict Management Group, Director

  • Midtown Manhattan
  • Full Time

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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).

• 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.