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The focus of this role is conflicts clearance for the UK and a number of other regions with a particular focus on the private-side Corporate Finance (advisory) and Merchant Banking (proprietary investment) Businesses ("Private Side Businesses"), oversight of Group and UK-specific controls on conflicts and market abuse, development and presentation of training to the Business in these areas, and management of the integration of new technology to enhance existing conflicts and control room processes across the Group. This role is in the Central Compliance team, located in the Group's Head office in London.
Daily management of UK and associated regions' conflicts management function across multiple Business lines, including implementation of transaction-specific "information boxes", internal cleansings and wall-crossings, internal cross-Business chaperoning (as required) and maintaining the Conflicts Register
Advising the Business on record-keeping aspects of the Market Abuse Regulation including insider lists
Liaison with Compliance Business Advisory leads on deal-specific conflicts reviews
Oversight and recording of employee-specific conflicts, including Personal Account Dealing and Outside Business Interests
Lead responsibility for enhancing existing conflicts registration, tracking and clearance processes, and strategic advice on management and organisation of conflicts
Liaison with overseas offices on cross-border issues
Contribution to compliance training programme, including on the Market Abuse Regulation and regulatory conflicts management rules, and compliance inductions to the Business
Contribution to compliance policies
Support to the Compliance Business Advisory leads and wider Businesses as required
Co-ordinate with Compliance colleagues globally to disseminate good practice and encourage consistency of approach between regions
Lead technological enhancements of the Conflicts clearance process and tools
Participate in other projects to enhance and further develop existing compliance processes
Experience and Competencies required
Significant experience in conflicts management and control room activities, gained in a compliance or COO function of a financial services institution
Understanding of Private Side Businesses, gained in a compliance or COO function of a financial services institution
Experience of conflicts clearance for UK Takeover Code and FCA Sponsor transactions
Methodical, structured and rigorous approach to delivery
Demonstrable prioritisation skills and experience of managing time-pressured requests from the Business
Demonstrable ability to foster strong working relationships globally, with both Compliance and Senior management colleagues
Well-developed ability to collate and analyse significant volumes of disparate data and communicate conclusions clearly
Strong written and oral communication skills
Motivated, proactive approach, capable of independent problem-solving and resolution
Integrity, high sense of discretion and confidentiality
Proficiency in information technology and architecture, especially databases, and excellent MS Office skills (including Excel)
Understanding of public side Wealth and Asset Management Businesses, gained in a compliance or COO function of a financial services institution
Legal training or experience
Non-English language skills (with preference given to French)
Occasional business travel will be required.
Our goal is to have a balanced, inclusive and flexible environment which enables all colleagues to achieve their personal and professional aspirations, and to ensure that Rothschild & Co provides longer term opportunities for talent.
Internal Number: 6569140
About Rothschild & Co
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