VP, Compliance Officer (Conflicts Management)

Full Time



Primary Responsibilities

  • 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.

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