Deputy Head Of Investment And Corporate Banking Regulatory Compliance

Global commercial bank located in Midtown Manhattan looking to bring on board a “Deputy Head Of Investment And Corporate Banking Regulatory Compliance” to join their team. This role is currently in a hybrid schedule (3 days in office).

Responsibilities:

• 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.