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We are currently seeking a Compliance Consultant - Conduct / Ethics to provide on-going support to our Fortune 500 client in financial services sector.
Job Responsibility:
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
Requirements:
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
Nice to have:
Experience responding to regulatory examinations by securities regulators and/or self-regulatory organizations
What we offer:
health benefits
paid time off
access to professional development resources and learning and development programs