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Vice President, Compliance Advisory, Conflicts

Atlanta, GA · Accounting/Finance
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 company 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 the company'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:
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 the company;
  • 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

Kat Forester
ProEnlist, LLC

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