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VP, Compliance Advisory, Conflicts


This is a Full-time position in Atlanta, GA posted November 15, 2021.

Title: :VP, Compliance Advisory, Conflicts @ Atlanta, GA / Princeton, NJ
Terms of Hire: Full Time.
Salary: $ 125,000–$145,000 / YR + Benefits.
Client: Financial Client
Job description :
Global Conflicts of Interest, Vice President: :
We are seeking a highly motivated and seasoned professional to serve as the Head of the Global Conflicts of Interest (COI) Program.

The ideal candidate will have experience building out a comprehensive conflicts program, including conflicts checking, or have been a senior member of a conflicts office at a large financial services organization.
The individual will be responsible for evaluating the existing COI framework and making enhancements as appropriate.

In addition, and in partnership with Technology, the successful candidate will develop and implement an automated tool to run conflict searches through Client systems and databases.

The screening of business opportunities and transactions is integral to ensuring that reputational risk and potential and actual conflicts are identified, assessed and managed.
Key Responsibilities: :
Manage a global team responsible for conducting and documenting the conflicts check and clearing process for business opportunities, and public and private transactions, to help ensure potential issues have been addressed and resolved

Partner with Legal & Compliance colleagues, business units, and other control functions to understand opportunities and create solutions to appropriately navigate potential and actual conflict issues

Advise investment teams, client businesses and Corporate Development regarding specific transactions and related conflicts

With the global team:

Establish, maintain and/or update Client’s COI register, policies and procedures, screening process, and investment adviser, bank and broker-dealer disclosures in addition to partnering with Legal on fund offering conflict disclosures

Create and deliver management information (MI) reporting to applicable governance committees, boards and senior management

Administer the governance, monitoring and escalation processes for conflicts

Train employees regarding COI, policies and procedures and the processes for reporting conflicts

Analysis and implementation of existing and new conflicts regulation in addition to best practices related to managing conflicts
Legal &Compliance (L&C) Overview: :
Client’s L&C Department protects Client’s reputation and provides advice to and oversight and monitoring of, Client’s business.

The department is focused on both understanding and advising on the impact of regulation to our business and on challenging, overseeing and monitoring business activities with the objective of:
Actively participating in business decisions to champion our clients’ interests and assist the business in translating compliance requirements and expectations into their daily work.

Putting client interests at the center of everything we do.

Ensuring adherence to applicable laws and regulations.

Cultivating and enhancing the strong compliance culture within Client.

Providing thought leadership on the impact and implementation of regulatory change.

Fostering excellence within the Compliance team; and

Actively developing the skills knowledge and careers of each member of the Compliance team
Knowledge/Experience and Education :
7-10 years of financial services experience, preferably buy-side

Prior experience as a senior member of a conflicts resolutions group or managing a conflicts program, including screening, preferred

Previous involvement with advising investment, client and corporate teams with respect to transaction opportunities and conflicts

Strong knowledge of the advisory and financing businesses in addition to applicable COI regulatory requirements

Excellent attention to detail

Effective project management skills

Ability to manage multiple tasks and projects effectively

Proficient in Excel, Word and PowerPoint

Strong written/oral communication, organizational, and interpersonal skills

Ability to work as part of a team and independently in a fast-paced environment

Bachelor’s degree required; Master’s or law degree preferred
You Will Enjoy:
An opportunity to be a part of a great culture, an awesome team, a challenging work environment, and some fun along the way!

Apply today to learn more and be part of our Growth story.
All applications will be kept strictly confidential and once shortlisted, our team will be in touch with you for further discussions.

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