Compliance Consultant, Conduct/Conflicts & Ethics

• Provide day-to-day support for central compliance and code of ethics activities, including review and approval of gifts and entertainment, outside business activities, and personal trading pre-clearance requests
• Assess transactions and firm touchpoints to identify potential conflicts of interest, documenting analyses, tracking deal updates, and recommending mitigation strategies
• Maintain and enhance restricted and watch lists by evaluating transactions and coordinating with legal, compliance, and deal teams on MNPI/inside information and list changes
• Review, monitor, and escalate relevant personal trading and transactional activity, including wall-crossing requests and trade pre-clearances from public-side businesses
• Draft and coordinate responses to regulatory examinations and related information requests

• Bachelor’s degree or equivalent
• 5-10 (+) years of relevant experience in financial services, ideally in a control room, conflicts management, or legal/compliance role
• Experience responding to regulatory examinations by securities regulators and/or self-regulatory organizations
• Strong analytical, issue-spotting, and problem-solving skills, with the ability to clearly explain decision rationales
• Excellent attention to detail and organizational skills

Experience responding to regulatory examinations by securities regulators and/or self-regulatory organizations

• health benefits
• paid time off
• access to professional development resources and learning and development programs