Legal & Compliance - Conflicts Clearance, VP
$165,000–$250,000 year
On-siteSan Francisco, California, United States
Job Summary
Conduct conflicts clearance by evaluating potential transactions to determine names for restricted or watch lists. Communicate with legal groups and deal teams to manage list additions and removals, including MNPI assessments. Identify transactional conflicts, escalate issues to appropriate contacts, and analyze firm touchpoints for potential conflicts of interest. Formulate recommendations for addressing conflicts, document analysis for clearing, and obtain deal updates from investment teams. Review trade pre-clearances from public side businesses and assist with personal trading pre-clearances. Enhance firm systems for documenting conflicts checks and manage wall-crossing requests.
Required Qualifications
- Bachelor's degree or equivalent
- 7+ years of work experience at a major financial services firm in the control room and/or conflicts management group, or relevant legal and compliance experience
- Strong analytical and issue-spotting skills
- Communicate confidently and effectively
- Work independently but still be a strong team player
- Substantial initiative, creativity and drive
- Attention to detail
- San Francisco
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