Position Summary

The Conflicts Management Group is responsible for maintaining the information barriers that prevent the misuse of material non-public information in the organization.  The function clears conflicts of interest that may arise from business dealings of the organization and administers the global conflicts policies for our Americas activities in conjunction with the Conflicts Management function in Head Office.  This group also provides advice to the private side of the bank and administers the employee trade monitoring function.

Primary Responsibilities

Determine where conflicts arise in the business areas and establish the correct protective barriers to prevent the misuse of the confidential information.  Maintain the conflicts database by ensuring all conflicts are properly captured in the system.  Provide advice to the business areas on transactions from a conflicts management standpoint.  Provide close coordination with the rest of the conflicts clearance function in Paris to keep them fully aware of proceeding in the Americas and serve as a backup location for them on other transactions. Maintain the US conflicts policies to ensure they are in agreement with Global policies as well as US laws and regulations concerning the topic.  Provide general advisory services in connection with investment banking activities.  Conduct surveillance to support the firm’s MNPI and information barrier policies.

Secondary Responsibilities

Support the employee trade monitoring function as well as offer advice on the related policies and practices.  Train the various business units on conflict management issues as well as the concepts of insider trading and material non-public information.

Special Role requirements

Ability to analyse complex transactions to determine where conflicts may be located and determine the proper management of those conflicts to ensure a smooth flow of the business.  Keep a clear understanding of the highly confidential nature of the activities and the importance of keeping the information protected.

Key Internal contacts
Other Compliance staff in the US and other locations
The Legal Department
All business units at various levels
 

Key External contacts
key regulatory groups
outside law firms
certain customers at the peer level
 

Compliance background with control room and conflicts management experience and knowledge of PAD systems