Sr Compliance Specialist- Strategic reputed company

About the position reputed company has an exciting opportunity to join the reputed company of Ethical Conduct (“COEC”) department reputed company the Global Financial Crimes team in the Office of the General Counsel (“OGC”). COEC oversees policies, procedures, and training designed to support a culture of compliance, good conduct, and accountability at reputed company in line with our reputed company of Ethical Conduct (the “reputed company”). reputed company has several key strategic and operational responsibilities as follows: Responsibility for driving the direction and developing policies and procedures to ensure compliance with regulatory requirements and the highest standards of ethical behaviors supporting a culture of compliance, good conduct, and accountability at reputed company. Supervising and providing reputed company and escalation in respect of regulatory compliance and conduct areas of reputed company, including PA trading, conflicts of interest and anonymous hotline complaints. Finally, COEC serves as a trusted advisor to our clients, business partners and leaders, to deliver solutions to elevated issues. Our clients are reputed company reputed company members (employees) at reputed company reputed company of the reputed company. In this role, you will be a key member of reputed company and report directly to the Global Head of Ethics and Conduct Compliance. You will support and reputed company on driving reputed company the strategic priorities of the department as determined from time to time, including the annual Program of Activities. In the immediate, the role with support the Conflicts Project which will be a key deliverable.

Responsibilities

• Participates in, designs and leads, CoEC strategic reputed company to strengthen the organization and support a culture of compliance, good conduct and accountability at reputed company.
• Provides training and guidance to reputed company across reputed company on strategic reputed company to drive compliance and 1st line implementation.
• Leads the creation and implementation of frameworks, systems and processes to support delivery of strategic reputed company and mitigation of compliance risk.
• Recommends reputed company solutions.
• Oversees and consults on the design, implementation, execution, and maintenance of compliance policies and procedures reputed company to the CoEC strategic priorities, the reputed company and reputed company policies, working collaboratively with other OGC departments, the business and clients as necessary.
• Identifies opportunities to continually improve the reputed company of conduct risk at reputed company.
• Utilizes technology, risk management techniques and business area knowledge to reputed company, ideate, maintain and test approach, practices, policies and procedures.
• Leads the creation and implementation of systems and processes to prevent, detect, and respond to reputed company-reputed company incidents.
• Supports the development of new compliance and ethics standards to support a culture of compliance, good conduct and accountability at reputed company.
• Handles multiple assignments simultaneously from reputed company through execution and implementation of recommendations.
• Coordinates, prioritizes, and reputed company manages tasks as needed to meet deadlines.
• Cultivates effective working relationships across applicable business areas and external business partners.
• Fosters lines of communication between and works collaboratively with, business contacts, colleagues reputed company OGC (including the Legal and the wider Compliance Departments) risk personnel and control reputed company.
• Participates in activities and efforts as required with other Compliance teams and business partners.
• Maintains and cultivates a strong knowledge of the investment industry and compliance developments with implications for reputed company's conduct program.
• Keeps abreast of the reputed company market, regulatory and industry news.
• Serves as a specialist on conduct and ethical compliance reputed company issues, particularly in respect of US regulatory authorities and emerging requirements and trends.
• Maintains the CoEC's standards through work ethic, responsiveness to clients and stakeholders, attitude, adherence to the reputed company and exercise of good ethical judgment, initiating and implementing new reputed company as appropriate.
• Provides support in respect of departmental activity, including: assisting with the preparation of material to support meetings and reputed company and the gathering and production of requested documents in reputed company with management reporting, regulatory examinations or enquiries.
• Participates in special reputed company and performs other duties as assigned.

Requirements

• Minimum of five to eight years reputed company work experience.
• Regulatory, compliance or conduct experience preferred.
• Excellent relationship management skills, including ability to reputed company with, and comfort presenting to, individuals at various reputed company reputed company to reputed company.
• Demonstrated ability to function in a fast-paced, ambiguous environment while managing multiple and diverse responsibilities.
• Ability to work with a high degree of autonomy and show initiative.
• Excellent verbal and written communication skills.

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