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Private Transactions Conflicts Officer
Company | Guggenheim Partners |
Address | New York City Metropolitan Area, United States |
Employment type | FULL_TIME |
Salary | |
Category | Financial Services,Investment Banking,Investment Management |
Expires | 2023-09-01 |
Posted at | 9 months ago |
Position Summary
- Reviewing private transactions.
- Maintain the Conflicts team’s records.
- Support the ongoing development and application of the private transactions/conflicts of interest review process.
- Perform post-transaction surveillance and reporting tasks.
- Conduct ad hoc discussions with sector desks, PMs, traders, Legal and Operations etc. to understand proposed transactions, offer compliance guidance, etc.
- Maintaining the private transactions pipeline to facilitate Compliance pre-trade approval.
- JD preferred.
- Experience with fixed income transactions.
- Experience with the Investment Advisers Act of 1940 and other securities laws.
- Strong attention to detail.
- Ability to work collaboratively with compliance, legal and business teams in New York and Chicago during East Coast work hours.
- Strong communications skills and team building focus.
- 3+ years’ experience at a law firm, registered investment adviser, broker-dealer or regulator.
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