Compliance Officer, Control Room

Job Title: Business Selection & Conflicts Officer – Investment Banking

Location: New York, NY / London, United Kingdom
Business Unit: Investment Banking – Business Selection & Conflicts
Level: Senior Associate / Vice President

Overview

We are seeking an experienced Business Selection & Conflicts Officer to join our Investment Banking Business Selection & Conflicts team. The successful candidate will play an important part in helping to build a dedicated Business Selection & Conflicts function and shaping new Business Selection & Conflicts processes. You will have direct input on implementing new technology solutions and refining existing policies and procedures. This person will also play a critical role in identifying, assessing, and managing transactional conflicts of interest arising from the firm’s global Investment Banking activities, as well facilitating internal business selection discussions. This role requires strong judgment, a deep understanding of Investment Banking products and transactions, and the ability to partner effectively with senior bankers, Legal, and Compliance stakeholders. We are looking for someone with a flexible, open mindset and entrepreneurial spirit.

Key Responsibilities

• Identify, analyze, and manage actual and potential conflicts of interest related to Investment Banking transactions, including M&A, capital markets, restructurings, and advisory mandates
• Review new business opportunities to identify and solicit feedback from business selection stakeholders and coordinating business selection discussions when required
• Coordinate with Legal & Compliance to implement and oversee conflicts mitigation measures, including information barriers, disclosures, waivers, and client consents
• Document conflicts & business selection analyses, decisions, and approvals in relevant systems
• Coordinate closely with Legal, Compliance, and senior business stakeholders on complex or sensitive matters
• Contribute to training and education initiatives for Investment Banking, Compliance, and Legal personnel on conflicts & business selection best practices
• Contribute to strategic projects focused on enhancing existing policies and processes, implementing new technology solutions to streamline conflicts workflow, and integrating new businesses into the Firm’s conflicts framework

Qualifications & Experience

• Minimum of 3-4 years of relevant experience in conflicts management or Investment Banking within a bulge bracket or comparable financial institution
• Strong understanding of investment banking transactions, products, and market practices
• Demonstrated experience identifying and managing transactional conflicts of interest
• Excellent analytical skills with the ability to exercise sound judgment and discretion in complex, high-pressure situations
• Strong communication skills, with the ability to interact confidently with senior bankers and other stakeholders
• Detail-oriented, highly organized, and able to manage multiple matters simultaneously
• Ability to operate independently while also functioning effectively as part of a collaborative team
• Bachelor’s degree required

Why Join Us

This role offers the opportunity to work at the center of complex, high-impact Investment Banking activity while playing a key role in protecting the firm’s integrity and reputation. You will gain exposure to senior stakeholders and complex conflicts & business selection issues in a dynamic, fast-paced environment.

Primary Location: New York Salary Range: $175,000-$200,000

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