Compliance Associate - Conflicts

  • Base salary, bonus and excellent benefits
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 14 Dec 17 2017-12-14

Our client, a well regarded, global investment management and private equity firm seeks to add a high performing Compliance professional to it's best in class Regulatory program.

~~Responsibilities:

Key responsibilities would include:
• Evaluating potential transactions to determine what names, if any, should be placed on the firm’s restricted or watch lists
• Communicating with other legal and compliance groups and deal teams to determine when companies should be added to or removed from the firm’s watch lists and restricted lists
• Determining the appropriate legal and business contacts for a conflicts check
• Analyzing the firm’s touchpoints with companies to determine the existence of potential conflicts of interest
• Formulating recommendations for addressing potential conflicts of interest
• Documenting analysis for clearing conflicts
• Contributing to consistent enhancement of the firm’s systems for documenting conflicts checks and recording names on the restricted list/watch list

Qualifications:

Our client seeks to hire individuals who are highly motivated, intelligent and have demonstrated excellence in prior endeavors.  In addition, our client is seeking the following for this position:

• Bachelor’s degree or equivalent
• One to three years of work experience at a major financial services firm in the control room and/or conflicts management group
• Strong analytical and issue-spotting skills
• Ability to communicate confidently and effectively
• Ability to work independently but still be a strong team player
• Substantial initiative, creativity and drive
• Attention to detail