Vice President, Compliance (Conflicts)

Position Id
Atlanta GA
Job Type
Full-Time Regular

Global Head of Conflict of Interest

Global Asset Management

Atlanta, Georgia

The client:

Our client is one of the largest asset managers in the world.

Position Overview:

A key member of the Legal & Compliance team, the Head of the Global Conflicts of Interest (COI) Program will have ownership of a comprehensive conflicts program across the organization.

The individual will be responsible for evaluating the existing COI framework and making enhancements as appropriate. In addition, and in partnership with Technology, the successful candidate will develop and implement an automated tool to run conflict searches through client’s systems and databases

Major Functions:

  • Design of a High Performing Conflict of Interest Program Function. Act as a resource across the organization (internal and external) and Subject Matter Expert.
  • Manage a global team responsible for conducting and documenting the conflicts check and clearing process for business opportunities, and public and private transactions, to help ensure potential issues have been addressed and resolved
  • Partner with Legal & Compliance colleagues, business units, and other control functions to understand opportunities and create solutions to appropriately navigate potential and actual conflict issues
  • Advise investment teams, client businesses and Corporate Development regarding specific transactions and related conflicts
  • Train employees regarding COI, policies and procedures and the processes for reporting conflicts

What you bring to this role:

  • 10+ years of progressive experience in Compliance with significant experience in a senior Conflict of Interest role (buy-side very strongly preferred)
  • Experienced in developing a Conflict of Interest framework across a large financial service organization
  • Strong knowledge of the advisory and financing businesses in addition to applicable COI regulatory requirements
  • JD or Master’s level degree

Next steps:

This is an exciting organization that will profit from your intelligence, flexibility, knowledge and strength of purpose. Please contact Dave Robertson in complete confidence @ 416.367.5454 or

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