Conflicts Officer

Full Time

Asset Management Client

Office: Hybrid

The successful candidate will have several years of experience either in a law firm or in a legal and compliance function within financial services, and will be comfortable interfacing with front office personnel and other stakeholders in a timely, accurate and confident manner. In addition to strong multitasking and problem solving skills, the ideal candidate will be a self-effacing, and a self-starter.
The Compliance role presents an opportunity to grow in a fast paced organization while supporting a critical function that protects our clients’ interests.

Responsibilities

  • Assist in ongoing development and support of the conflicts of interest review process.
  • Assist in monitoring and cataloging firm relationships.
  • Maintain deal pipelines across several different business sectors and communicate with applicable business leads regarding transaction timing and information needed for Compliance pre-trade approval.
  • Review transactions, with a particular focus on analyzing transaction structures and legal documents, identifying transaction participants, and identifying potential areas of regulatory risk.
  • Assist with the organization of the conflicts team’s records.
  • Perform post-transaction surveillance and discuss potential issues with the Conflicts Director.
  • Maintain compliance regulatory policies and procedures to manage and mitigate regulatory risk, and assist the Conflicts Director with developing and updating related desktop procedures.
  • Keep abreast of regulatory developments and new rules and assess their impact on the firm’s conflicts management program.
  • Attend meetings and hold ad hoc discussions with the firm’s Sector Desks, Portfolio Managers, Traders, Legal and Operations staff as needed to understand proposed transactions, offer compliance guidance, and determine compliance-related issues.
  • Develop training on any regulatory developments which may have an impact on the business.
  • Perform any other functions which may be required to support the firm’s compliance program.
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