Compliance Associate

New York, NY

Brief Description:

This position will assist in the firm’s conflicts clearance process and restricted and watch lists, and will play a significant role in the implementation and oversight of the firm’s information walls. The successful candidate will have sound analytical skills and judgment that will enable him or her to identify and address or escalate a wide variety of issues as well substantial initiative and drive that will allow him or her to assist with and adapt to upgrades of the firm’s systems around conflicts clearance.

Job Function:


Key responsibilities would include:

• Evaluating potential transactions to determine what names, if any, should be placed on the firm’s restricted or watch lists
• Communicating with other legal and compliance groups and deal teams to determine when companies should be added to or removed from the firm’s watch lists and restricted lists
• Determining the appropriate legal and business contacts for a conflicts check
• Analyzing the firm’s touchpoints with companies to determine the existence of potential conflicts of interest
• Formulating recommendations for addressing potential conflicts of interest
• Documenting analysis for clearing conflicts
• Contributing to consistent enhancement of the firm’s systems for documenting conflicts checks and recording names on the restricted list/watch list



Our client  seeks to hire individuals who are highly motivated, intelligent and have demonstrated excellence in prior endeavors.  


• Bachelor’s degree or equivalent
• One to three years (1-3) of work experience at a major financial services firm in the control room and/or conflicts management group
• Strong analytical and issue-spotting skills
• Ability to communicate confidently and effectively  
• Ability to work independently but still be a strong team player

Contact Details:

Steven Cebel

914-524-0301 ext 126