Job Summary & Responsibilities
The Conflicts Resolution Group (“CRG”) is involved in a wide range of the firm’s businesses and transactions and provides exposure to the most senior business leaders and risk managers across the firm. A role in CRG offers an exceptional opportunity for professional development for a person interested in financial markets who has the capacity to appreciate the complexities of risk management in the space.
CRG reviews business opportunities across the firm to ensure that reputational risk and potential and actual conflicts of interest are identified, assessed and managed so as to protect client relationships, safeguard confidential information, mitigate reputational risk and ensure that we are able to fulfill our responsibilities to our clients prior to accepting a role.
• Liaise with business teams across divisions (e.g., Investment Banking Division, Merchant Banking Division, Securities Division, Investment Management Division) to understand transaction opportunities in the advisory, financing and principal areas
• Manage the conflict check process for each transaction to ensure any potential relevant issues identified during the review process are addressed and resolved
• Conduct due diligence of business opportunities under review by considering current and historical assignments, relevant firm positions and other information potentially relevant to assess whether the firm may pursue the business opportunities
• Create solutions to appropriately navigate potential conflict issues
• Document the elements of review for each conflict check in CRG’s proprietary database which is used to facilitate and record information concerning the initiation and resolution of conflict checks
• Work closely with members of the global CRG team as well as other control groups such as Legal, Compliance, Business Intelligence Group, among others, to collect relevant feedback, identify and resolve potential issues arising during the course of the conflict check review process
• Monitor the status of opportunities previously cleared in order to proactively identify any potential issues that may arise post completion of the conflict check process through dialogue with the business teams and business unit leaders
• In addition to reviewing transactions, actively manage 1-2 projects that are oriented towards internal policy and procedures on new issues and improving efficiencies across the CRG team
• JD or MBA Preferred, but not required
• Experience with or knowledge of financial products/transactions preferred
• Minimum 5 years working experience with graduate degree; otherwise 7 years
• Strong communication skills and ability to interact directly with a wide group of professionals at different levels of seniority across the firm
• Ability to operate in fast-paced environment with high sense of urgency
• Strong organizational skills
• Commercially savvy
• High Attention to detail
• Proactive and self-motivated
• Strong sense of discretion with respect to highly confidential information
• Ability to work in close coordination with others as part of a small team
Excellence Corporate Consulting is an equal opportunity employer. © The Excellence Corporate Consulting, Inc., 2017. All rights reserved.
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