What are the responsibilities and job description for the VP, Conflicts Compliance position at Cardea Group?
VP, Conflicts Compliance (New York, NY): Our client, a multi-strategy fund with a global presence and over $50B in assets, is looking for a skilled and motivated individual to serve as their VP overseeing their Conflicts and Control Room functions. Serving in a critical function for the team, this individual will work closely with the Compliance team to identify and mitigate compliance risks while enhancing the firm’s culture of compliance.
Key Points:
- Fantastic opportunity to join a successful, steadily growing firm that is developing new products, expanding its reach, and giving this person a dynamic role.
- Opportunity to work on a lean team to lead and drive initiatives across conflicts while also making contributions to other compliance areas.
- Individual will be able to significantly influence the overall success of the firm and its compliance department.
- Firm is in the office Monday – Thursday.
Responsibilities:
- Play an active role as part of a team handling essential functions across a diverse global business.
- Manage policies, procedures, and controls related to the firm’s restricted trading list and watch list.
- Identify, raise, and address conflicts of interest across both regional and global groups.
- Evaluate and handle personal trading and private investment requests.
- Collaborate with external law firms, deal professionals, and other legal and compliance team members to identify, monitor, and address potential conflicts.
- Support the assessment and analysis of potential material nonpublic information.
- Monitor compliance with the firm’s Information Barrier Policy and conduct testing of related policies and procedures.
Qualifications:
- 6-8 ( ) years of regulatory and compliance experience within the investment space.
- At least 4 years focused on handling investment conflicts issues.
- Experience within an investment bank or asset manager is necessary.
- Proven project management expertise with the ability to execute initiatives independently, high attention to detail, and a strong work ethic.
- Capability to adopt a practical, business-focused approach to risk and compliance while achieving the desired outcomes.
- Excellent time management, organization, and prioritization abilities, with strong analytical, written, and verbal communication skills.
- Ability to collaborate effectively across various teams.
Compensation:
$175-225k base salary, $250-325k all-in
Job ID: 2979291
Salary : $175,000 - $225,000
