Conflicts Compliance Senior Associate Conflicts Compliance Senior Associate …

Eximius Finance
in London, United Kingdom
Permanent, Full time
Last application, 20 Sep 21
£70,000
Eximius Finance
in London, United Kingdom
Permanent, Full time
Last application, 20 Sep 21
£70,000
Posted by:
Lee Barnish • Recruiter
Posted by:
Lee Barnish
Recruiter
The focus of this role is conflicts clearance for the UK and a number of other regions with a particular focus on the private-side Corporate Finance (advisory) and Merchant Banking (proprietary investment) Businesses (“Private Side Businesses”). This role is in the UK Compliance team.

Experience:

• Significant experience in conflicts management, gained in a Compliance or Legal function of a financial services institution
• Understanding of Private Side Businesses, gained in a Compliance or Legal function of a financial services institution

 

Responsibilities

• Full involvement in UK and associated regions’ conflicts management across multiple business lines, including conflicts clearances, implementation of transaction-specific “information boxes”, and maintaining the Conflicts Register and conflicts records
• Liaison with Compliance Business Advisory leads on deal-specific conflicts reviews
• Involvement in enhancing existing conflicts registration, tracking and clearance processes, and strategic advice on management and organisation of conflicts
• Liaison with overseas offices on cross-border issues
• Escalation of issues in relation to conflict clearance requests to management
• Contribution to Compliance training programme as appropriate
• Contribution to Compliance policies as appropriate
• Support to the Compliance Business Advisory leads and wider Businesses as required
• Provision of Management Information regarding conflicts of interest

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