Compliance Associate - Conflicts

  • Base salary, bonus and excellent benefits
  • New York, NY, USA
  • Permanent, Full time
  • The Forum Group
  • 15 Feb 18 2018-02-15

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.


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


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