Private Transactions Conflicts Officer
- Posted: 04/05/2023
- Salary: .
- Location: Manhattan, New York, United States
- Job Type: Permanent/Fixed Term
This position is with a leading Investment firm and is on a hybrid schedule in their Santa Monica office.
This is an opportunity where you will be in a leading role in monitoring private clients and their investments to ensure the organization isn’t having conflicts. Candidates must be a qualified attorney and have experience working at a law firm with a strong background in conflicts of interest.
Role Responsibilities:
- Monitoring private clients and their investments to ensure organizations isn’t having conflicts.
- Effectively review private transactions and maintain the conflicts of interest review process for the firm.
- Analyze transactions for regulator risk as needed.
Requirements:
- JD Qualified.
- 4+ years of experience working as an Conflicts attorney at a Law firm.
- Strong analyzing transactions for regulatory risk and ensuring private clients and their investments don’t have conflicts of interest.
- Experience with the Investment Advisor Act of 1940.
Chris Markley
Partner