Legal & Compliance - Conflicts Clearance, AVP

Responsibilities

• Evaluating potential transactions to determine what names, if any, should be placed on the firm’s restricted and/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 and/or restricted lists (e.g., MNPI/inside information assessment)
• Identifying potential transactional conflicts and escalating accordingly to the appropriate legal and business contacts
• Drafting and coordinating firmwide responses to regulatory examinations
• 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
• Obtaining deal updates from the investment teams
• Evaluating and managing wall-crossing requests
• Reviewing trade pre-clearances from public side businesses
• Aiding with personal trading pre-clearances as needed
• Enhancing the firm’s systems for documenting conflicts checks and the restricted and/or watch lists

Qualifications

• Bachelor’s degree or equivalent
• 5+ years of work experience at a major financial services firm in the control room and/or conflicts management group, or in a relevant legal and compliance role
• Experience responding to regulatory inquiries, including but not limited to FINRA and the SEC
• Strong analytical and issue-spotting skills
• Communicates confidently and effectively
• Works well independently but is still a strong team player
• Substantial initiative, creativity, and drive
• Attention to detail

Pay

Expected annual base salary range: $135,000 - $200,000

Schedule

Not specified

Benefits

• Comprehensive health benefits, including but not limited to medical, dental, vision, and FSA benefits
• Paid time off
• Life insurance
• 401(k) plan
• Discretionary bonuses

Skills

Not specified

Requirements

• Not specified