EXTERNAL CLIENT ROLE
- Determine where conflicts arise in the business areas and establish the correct protective barriers to prevent the misuse of the confidential information.
- Maintain the conflicts database by ensuring all conflicts are properly captured in the system.
- Provide advice to the business areas on transactions from a conflicts management standpoint.
- Provide close coordination with the rest of the conflicts clearance function in Paris to keep them fully aware of proceeding in the Americas and serve as a backup location for them on other transactions.
- Maintain the US conflicts policies to ensure they are in agreement with Global policies as well as US laws and regulations concerning the topic.
- Provide general advisory services in connection with investment banking activities.
- Conduct surveillance to support the firm’s MNPI and information barrier policies.