Compliance Officer, Control Room
About The Position
The Business Selection & Conflicts Officer will join the Investment Banking Business Selection & Conflicts team and help build a dedicated function while shaping new business selection and conflicts processes. The role includes input on implementing technology solutions and refining existing policies and procedures. The officer will identify, assess, and manage transactional conflicts of interest arising from the firm’s global Investment Banking activities and facilitate internal business selection discussions. The position requires strong judgment, a deep understanding of Investment Banking products and transactions, and effective partnership with senior bankers, Legal, and Compliance stakeholders. The role offers exposure to complex, high-impact Investment Banking activity and senior stakeholders, while contributing to the protection of the firm’s integrity and reputation in a dynamic, fast-paced environment.
Requirements
- Minimum of 3–4 years of relevant experience in conflicts management or Investment Banking within a bulge bracket or comparable financial institution.
- Strong understanding of Investment Banking transactions, products, and market practices.
- Demonstrated experience identifying and managing transactional conflicts of interest.
- Excellent analytical skills and the ability to exercise sound judgment and discretion in complex, high-pressure situations.
- Strong communication skills and the ability to interact confidently with senior bankers and other stakeholders.
- Detail-oriented, highly organized, and able to manage multiple matters simultaneously.
- Ability to operate independently and function effectively as part of a collaborative team.
- Bachelor’s degree required.
Responsibilities
- Identify, analyze, and manage actual and potential conflicts of interest related to Investment Banking transactions, including M&A, capital markets, restructurings, and advisory mandates.
- Review new business opportunities to identify and solicit feedback from business selection stakeholders, and coordinate business selection discussions when required.
- Coordinate with Legal and Compliance to implement and oversee conflicts mitigation measures, including information barriers, disclosures, waivers, and client consents.
- Document conflicts and business selection analyses, decisions, and approvals in relevant systems.
- Coordinate with Legal, Compliance, and senior business stakeholders on complex or sensitive matters.
- Contribute to training and education initiatives for Investment Banking, Compliance, and Legal personnel on conflicts and business selection best practices.
- Contribute to strategic projects to enhance policies and processes, implement technology solutions to streamline conflicts workflows, and integrate new businesses into the firm’s conflicts framework.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
