Closing Date: 5th April, 2024
Description:
About this role:An American Multinational Financial Services Company is seeking a Senior Counsel to join the Conduct Risk Management Team within the An American Multinational Financial Services Company Legal Department. As a highly regulated and sophisticated financial institution, An American Multinational Financial Services Company has a number of functions and programs designed to support ethical conduct and identify, investigate, and mitigate employee misconduct. Conduct Risk Management provides advice and counsel to Front Line and Second Line functions on matters relating to employee conduct including allegation management, ethics, conflicts of interest, customer harm, sales practices, and insider threat.
This position will primarily support Conduct Risk, a second-line compliance/risk function that provides oversight and challenge to the front-line conduct programs and also includes the Ethics Office.
In this role, you will:
- Provide day-to-day legal advice and guidance to Conduct Risk in identifying, assessing, and mitigating conduct risks on a variety of topics including ethics, conflicts of interest, and sales practices.
- Advise on the development, implementation, and interpretation of the company's Code of Conduct and Conduct Risk policies on misconduct, conflicts of interest, gifts and entertainment, sales practices, and risk management and oversight.
- Advise on conduct programs, including policies, procedures, oversight, reporting, and training.
- Review and advise on legal risks or compliance gaps for conduct risk communication and outreach efforts, change management initiatives, and data governance and reporting.
- Collaborate across the Legal Department, as needed, on conduct initiatives and privileged investigations for the Legal Department. Share information across the Legal Department to enable an integrated and strategic legal perspective on conduct issues across the Company.
- Promote consistency of processes, communication, development, and integration of conduct risk programs to meet expectations for conduct related issues.
- Build partnerships with peers, colleagues, and mid-level managers in the businesses and enterprise functions, as well as across the Legal Department, to influence decision making, priorities, address legal and risk issues, and change necessary to develop and implement risk management programs and meet the Company's goals.
- Lead or participate in moderately complex initiatives and deliverables, complete in-depth evaluation of variable factors, and contribute to large-scale planning.
- Independently resolve moderately complex issues and lead team to meet deliverables.
- Identify and analyze complex legal issues, develop conclusions and make recommendations for issue resolution.
- Lead projects, teams or serve as a mentor for less experienced staff.
Required Qualifications:
- 4+ years of Law experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- Active State Bar membership or the equivalent in a country outside the United States
Desired Qualifications:
- Experience advising on employee conduct programs and topics such as ethics, conflicts of interest, and sales practices and/or conducting employee investigations
- Ability to analyze legal and regulatory issues and provide effective advice to clients on complex legal matters
- Experience supporting compliance, risk, and regulatory programs or initiatives
- Adaptability, open mindedness, and the desire to take on new challenges
- Skill influencing internal and external stakeholders
- Strong attention to detail and accuracy
- Excellent verbal, written, and interpersonal communication skills
- Proficiency in time management and organization
- Collaborative workstyle that prioritizes developing relationships and forging partnerships
