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Job

SVP Conflicts of Interest Compliance

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $175,000 - $190,000

  • Contact:

    Thomas Byrne

  • Contact email:

    t.byrne@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Job ref:

    Conflicts

  • Published:

    21 days ago

  • Expiry date:

    2021-11-05

  • Startdate:

    ASAP

We're working with one of the top investment banks in the US who are looking for a conflicts compliance officer to join their team.

This will be centred around establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management framework that maintains risk levels within the firm's risk appetite.


What you'll be doing 

  • Executing the governance for internal conflicts of  interest risk taxonomy 
  • Designing, developing, delivering, and maintaining best-in-class Compliance, programs, policies, and practices
  • Establishing enterprise-wide global processes to enable the firm to uniformly address compliance with conflicts of interest laws, rules, and regulations 
  • Coordinating with stakeholders and policy governance unit to ensure relevant policies are appropriately tagged to the conflicts of interest risk category.
  • Providing advice, monitoring and credible challenge of the conflicts of interest management framework and advice on conflicts of interest policies

Qualifications:

  • 7+ years of Compliance experience within a top financial institution
  • Bachelors degree level educated
  • Previous experience in Banking Legal or Compliance, Control Group/Conflicts Office, M&A Legal or with the management and implementation of conflicts of interest frameworks at a financial institution is preferred.

For more information please get in touch with Thomas Byrne at Hamlyn Williams at t.byrne@hamlynwilliams.com