Employee-Conflict Attestation Recovery Leader

The mandate

Annual attestations ask employees about outside roles, personal accounts, gifts, entertainment, referrals and close relationships, but affirmative responses feed separate queues with inconsistent ownership. Some approvals have no expiry, new roles are matched poorly to historic disclosures and supervisors cannot tell whether a late declaration is an administrative lapse or a conduct concern. The employee-conduct head departed after internal audit found large unresolved populations, leaving an executive gap before the next certification cycle.

The first twenty-five days require a disclosure-and-exception census covering employee role, risk population, question, response, related person or entity, approval, condition, review date, breach indicator and accountable owner. By day fifty-five, high-risk matters need triage into clarification, approval, restriction, monitoring or investigation referral. The ninety-day window must clear material stale cases and launch a certification process whose completion measure includes resolved follow-up rather than submitted forms alone.

Decision rights include assigning exception owners, expiring unsupported approvals, requiring supplemental evidence, pausing certification closure and directing restrictions within established policy. The interim may refer suspected nondisclosure or breach through approved investigation channels. Misconduct findings, discipline, client restrictions, regulatory reporting, legal interpretation, trade surveillance and approval outside delegated authority remain with compliance, counsel, supervisors and committees.

The assignment must prepare permanent conduct ownership beyond annual campaigning. The leader will appoint or ready the attestation head, embed hire, promotion, role-change and event-driven disclosure triggers and observe the successor lead one certification plus two complex exception reviews. Handover will identify unresolved interests, monitoring conditions, investigation referrals, data mismatches, supervisor actions, regional rule differences and approvals due to expire.

The remit excludes covert financial investigation, legal advice, personal-trade adjudication, disciplinary decisions, regulator contact and collection of family information without defined relevance. The leader cannot infer misconduct from late disclosure alone, use attestation to investigate political belief or grant informal waivers to revenue producers. Employees, compliance specialists, supervisors, counsel and regulators retain their respective rights and authorities.

Why this seat is open

The departure left campaign administration active but substantive conflicts spread across teams, allowing submitted forms to masquerade as closed risk. The next annual certification would compound unresolved exceptions. A fixed-term executive can make bounded approval and routing decisions, clear stale exposure and transfer continuous conflict governance to a permanent leader.

What you will own

• Build the census across employee role, disclosure type, related party, approval, condition, expiry, monitoring and owner.
• Triage outside roles, personal accounts, gifts, referrals, close relationships and late declarations by evidence and policy.
• Expire unsupported approvals and establish condition, duration, review, role-change and event-driven reassessment controls.
• Connect annual certification to follow-up completion, supervisor acknowledgement, restrictions, monitoring and investigation referral.
• Reconcile people, personal-dealing, gifts, procurement and relationship data without collecting irrelevant family or political information.
• Report ageing, unresolved high-risk interests, approval concentration, repeated nondisclosure and supervisory delay.
• Transfer continuous triggers, campaign governance, exception files, decision logs and observed reviews to the successor.

Candidate qualifications

• Has led employee-conflict, personal-dealing or conduct-attestation operations in regulated banking or capital markets.
• Understands outside interests, accounts, gifts, referrals, close relationships, approvals, restrictions and event-driven disclosure across regulated roles.
• Can distinguish late administration, ambiguous policy, unmanaged conflict and suspected misconduct from evidence.
• Has challenged revenue leaders and supervisors while preserving investigation, disciplinary and regulatory decision boundaries.
• Brings credible integration across people, compliance, surveillance, procurement, legal, technology and business supervision.
• Has transferred attestation governance through a live regional certification and complex exception reviews.

Non-negotiables

• Can work onsite in Hong Kong and attend weekly exception plus monthly regional conduct reviews.
• Brings direct regulated employee-conflict authority; general ethics training or HR compliance alone is insufficient.
• Will not infer misconduct from delay, collect irrelevant beliefs, grant informal waivers or contact regulators independently.
• Has no undisclosed interest in employees, clients, brokers, vendors, external board networks or investigation firms.

1. 49 words maximum. Which fact turns a disclosed outside role into a monitored conflict rather than an automatic prohibition?
2. 49 words maximum. How would you distinguish late administration from suspected nondisclosure?
3. 49 words maximum. What must the successor demonstrate during the next certification cycle?