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Conflicts Compliance Officer

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Our client is seeking an experienced compliance officer or attorney to join their Global Compliance team. The successful candidate will support firm-wide compliance operations and initiatives by managing policies, processes, disclosure obligations, technology systems, and partnering with business leaders to identify and mitigate legal, regulatory, operational and reputational risks arising from actual or potential conflicts of interest.

What you'll do:
As a Conflicts Compliance Officer, you will play a crucial role in ensuring the smooth operation of our client's global businesses. You will be responsible for providing real-time advice on potential conflicts of interest, preparing necessary documentation, coordinating with outside counsel, and supporting the integration of new business strategies. Your expertise will be vital in managing the company's compliance infrastructure and mitigating information sharing risk across the firm.
• Provide real-time advice to global businesses and investment professionals on actual or potential conflicts of interest.
• Prepare memoranda concerning conflicts of interest and present such documentation to the Global Conflicts Committee.
• Coordinate with outside counsel regarding conflicts of interest as required.
• Prepare and advise concerning regulatory disclosures relating to conflicts of interest.
• Support integration of new business strategies into existing Compliance and operational infrastructure.
• Manage the application of the company's compliance infrastructure for mitigating information sharing risk across the Firm.

What you bring:
The ideal Conflicts Compliance Officer brings at least ten years of experience in investment management compliance or legal practice. She has substantial understanding of the Investment Advisers Act of 1940 and its application to conflicts of interest. Her experience extends to private equity and credit investing strategies. She is familiar with policy drafting, training business partners, managing regulatory changes, testing and risk assessment. Proficiency in Microsoft Office Suite and other data analytics tools is also essential.
• At least ten years of experience in investment management compliance or legal practice.
• Substantial understanding of and experience advising concerning the Investment Advisers Act of 1940.
• Experience with private equity and credit investing strategies.
• Familiarity with policy and procedure drafting, training business partners, regulatory change management, and testing and risk assessment.
• Proficiency in Microsoft Word, Excel, PowerPoint, and other data analytics tools.

What sets this company apart:
Our client is a leading global investment firm that offers alternative asset management and capital markets and insurance solutions.

Contract Type: FULL_TIME

Specialism: Legal & Compliance

Focus: Buy-side Compliance

Industry: Financial Services

Salary: $180,000 - $240,000 per year

Workplace Type: Hybrid

Experience Level: Mid Management

Language: English - Professional working

Location: New York

Job Reference: 178ZUZ-3BB8708C

Date posted: June 27, 2024

Consultant: Robert Moseman

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