Executive Director, Compliance-control Room Officer - New York, United States - Santander US

Santander US

Verified Company

New York, United States

1 week ago

Posted by:

Mark Lane

beBee recruiter

Description

Executive Director, Compliance-Control Room Officer

New York, United States of America

The Santander CIB (US) Control Room administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest.

The ED, Control Room officer is responsible for working with the US Head of the Control Room to ensure that an effective compliance program is developed and maintained to address compliance with applicable regulatory requirements, global requirements and key compliance issues and actions are taken to mitigate compliance risk.

Responsibilities:

Maintain the firm's Watch List ("WL") and Restricted Lists ("RL") in conjunction with Global Control Room counterparts, in order to prevent and detect insider trading and manage conflicts of interest.
Administration the transactional conflicts clearance process and liaise with the various businesses and global compliance counterparts, as necessary, to resolve any real or perceived potential conflicts of interest.
Review of research for WL and RLrelated concerns
Review of personal securities trading preclearance requests against the WL and RL.
Act as a key advisor to the business as well as other colleagues on issues regarding information barriers, wall crossing procedures, sensitive information, the needtoknow principle and conflicts of interest.
Maintain policies and procedures and other documents such as Compliance bulletins and the Control Room Manual, etc. which provide written guidance on the appropriate implementation of regulatory requirements, laws, rules and standards.
Conduct training, as needed, on related compliance/regulatory topics.
Coordinating and executing the compliance and regulatory initiatives and other special projects, including regulatory risk assessments and periodic compliance reporting.
Track new industry initiatives and developments, and determine applicability to the business and implement responsive compliance measures
Promoting knowledge sharing and promulgation of best practices across SCIB Compliance and the business.
Informing Compliance management of significant compliance matters that require their attention or action.
Additional duties as assigned.

Qualifications:

12+ years of work experience.
12+ years financial industry experience within a U.S. regulated financial institution, specific work experience with brokerdealer federal and state regulations related to insider trading and/or conflicts of interest.
Advanced knowledge in risk identification, risk assessment, controls development, training, monitoring and reporting.
Ability to prioritize and manage multiple tasks in a high pressure environment.
Strong critical thinking and analysis skills, verbal and written communications skills, and project management skills.
Ability to work independently.
Proficient with Microsoft Office
Spanish (will be a plus but not required)

Education:

Bachelor's Degree, or equivalent degree and/or work experience, in Business, Finance, or a related field. (Req)

Skills and Abilities:

Excellent problem solving, analytical ability, oral and written communication skills.
Ability to negotiate and compromise.
Ability to handle conflict resolution with other groups to ensure appropriate guidance is followed.
Ability to adjust to new developments/changing circumstances.
Ability to effectively communicate and build relationships with multiple levels of the organizational structure, including senior level management.
Ability to maintain and report on confidential information in an appropriate manner.
Ability to convey a sense of urgency and drive issues/projects to closure.
Ability to adapt and adjust to multiple demands and competing priorities.
Ability to direct, train and guide peers and management.

Diversity & EEO Statements:

At Santander, we value and respect differences in our workforce and strive to increase the diversity of our teams.

We actively encourage everyone to apply.

Santander is an equal opportunity employer.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status or any other characteristic protected by law.

Working Conditions:
Frequent Minimal physical effort such as sitting, standing and walking. Occasional moving and lifting equipment and furniture is required to support onsite and offsite meeting setup and teardown. Physically capable of lifting up to fifty pounds, able to bend, kneel, climb ladders.

Employer Rights:
This job description does not list all of the job duties of the job. You may be asked by your supervisors or managers to perform other duties. You may be evaluated in part based upon your performance of the tasks listed in this job description. The employer has the right to revise this job description at any tim