Financial Services Client
Office Status: Hybrid (2-3 days per week in office)
- 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 particular transactions, with a 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.
- Develop compliance regulatory policies and desk procedures to manage and mitigate regulatory risk.
- 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.