Conduct and Ethics Manager

Description

The Conduct and Ethics Manager is an independent compliance partner who is responsible for working day-to-day with the Conduct and Ethics Director, the Control Room team, and our CFG business partners, at all levels of the organization, to monitor compliance with regulations and Control Room policies to manage the regulatory risks accordingly. The related process areas include, but are not limited to, Conflict Management, Personal Securities Transactions Surveillance and Preclearance Trade Reviews.

The Conduct and Ethics Manager will report to the Conduct and Ethics Senior Manager.

The Conduct and Ethics Manager is an independent compliance partner who is responsible for working day-to-day with the Conduct and Ethics Director, the Control Room team, and our CFG business partners, at all levels of the organization, to monitor compliance with regulations and Control Room policies to manage the regulatory risks accordingly. The related process areas include, but are not limited to, Conflict Management, Personal Securities Transactions Surveillance and Preclearance Trade Reviews.

The Conduct and Ethics Manager will report to the Conduct and Ethics Senior Manager.

STRATEGIC PROCESS:
Support the delivery of an effective and independent Compliance Risk Management Program for CFG, including business lines, support / control functions, and legal entities that is aligned with organizational programs and standards, as well as regulatory expectations.

• Support the Conduct and Ethics Senior Manager in the maintenance of an effective and efficient governance structure across the Control Room and ensuring the continuous maturity of the Control Room program
• Represent the Control Room in various governance meetings, where appropriate.

BUSINESS PARTNER EXPECTATIONS:
Create value for CFG by providing strong business partnerships, insight, advice, and assurance on the adequacy and effectiveness of CFG’s compliance risk framework, while maintaining appropriate independence.

• Day to day execution and escalation of Control Room related issues, including, but not limited to:
  Conflict Clearance and Escalation;
  Information Barrier Advisory;
  Personal Securities Transactions;
  Trade Surveillance
• Maintain and implement Control Room Policies and Procedures
• Coordinate and deliver relevant training which include the following topics, as needed: conflicts of interest; handling of Material Non-Public Information;
  Personal Securities Transactions
• Promote business partner focus throughout strategy, communications, and engagement. Ensure business partner focus is built into Control Room culture. This includes understanding our business partner's goals of focusing on our customers
• Provide regulatory analysis and advice in relation to organization change initiatives (e.g., new products; processes)
• Work closely with the businesses, where relevant, in providing timely regulatory advice to ensure compliance with all relevant laws and regulations, pre-emption and prevention of regulatory violations and ensuring that failures and shortcomings are escalated accordingly
• Build and maintain effective partnerships within the business
• Ensure that any potential and actual violations (e.g., market abuse; information barrier issues) are identified, escalated, and managed.
• Promote awareness of applicable regulatory standards, upstream risks and industry best practice across the business and relevant support areas including risk
• Identify areas where regulatory risk standards can be enhanced and assist in their effective implementation
• Engage in investigations that may be initiated internally or externally by regulators/other agencies, as well as HR investigations/disciplinary procedures concerning CFG staff

RISK, EFFICIENCY, AND CONTROL:
Operate within Policy Framework, standards and processes, ensuring a consistent and quality approach to work is adopted within the function and that Compliance operates efficiently.

• Understand the inherent, material risks of the business/organization.
• Establish and deploy robust risk and control frameworks for the Control Room, including communication, training and awareness.
• Provide expert support and advice to…