USA Job Family Description: 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 VP, 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.
USA Job Function Description: 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 VP, 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. Essential Functions/Responsibility Statements:Maintain the firm’s Watch/Grey Lists (“WL”) and Restricted List (“RL”), in conjunction with Global Control Room counterparts, to prevent and detect insider trading and manage conflicts of interest.
Administer the transactional conflicts clearance process, and liaise with the Business Selection and Conflicts function to resolve any potential conflicts of interest.
Review of research for WL and RL-related concerns.
Chaperone communications between Investment Banking and Research to assist in identifying and managing possible conflicts of interest.
Review of personal securities trading pre-clearance 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 need-to-know principle and conflicts of interest.
Conduct training, as needed, on related compliance/regulatory topics.
Draft or review policies and procedures and other documents such as the Control Room Operating Manual.
Contribute to Global Control Room initiatives, including technology enhancements associated with deal management, conflicts clearance and wall crossing controls and processes.
Qualifications:
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Work Experience: 9+ years, with at least 7 years in Compliance, Legal, Regulatory, or Financial Services.
Education: Bachelor's Degree, or equivalent degree and/or work experience in Business, Finance, or a related field. (Req)
Skills and Abilities:Able to Prioritize and manage multiple tasks in a high-pressure environment.
Maintain and report on confidential information in an appropriate manner.
Handle conflict resolution with other groups to ensure appropriate guidance is followed.
Ability to adjust to new developments/changing circumstances.
Effectively communicate and build relationships with multiple levels of the organizational structure, including senior level management.
Able to convey a sense of urgency and drive issues/projects to closure.
Direct, train and guide peers and management.
EEO Statement: At Santander, we value and respect differences in our workforce. 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. Occassional 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 time. This job description is not a contract for employment and either you or the employer may terminate at any time for any reason.Primary Location: New York, NY, Madison Ave Corp
Other Locations: New York-New York,Massachusetts-Boston
Organization: Santander US Capital Markets LLC
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