Compliance Consultant, Conduct/Conflicts & Ethics - F500

We are currently seeking a Compliance Consultant - Conduct / Ethics to provide on-going support to our Fortune 500 client in financial services sector:

Key Responsibilities

• Provide day-to-day support for central compliance and code of ethics activities, including review and approval of gifts and entertainment, outside business activities, and personal trading pre-clearance requests.
• Assess transactions and firm touchpoints to identify potential conflicts of interest, documenting analyses, tracking deal updates, and recommending mitigation strategies.
• Maintain and enhance restricted and watch lists by evaluating transactions and coordinating with legal, compliance, and deal teams on MNPI/inside information and list changes.
• Review, monitor, and escalate relevant personal trading and transactional activity, including wall-crossing requests and trade pre-clearances from public-side businesses.
• Draft and coordinate responses to regulatory examinations and related information requests.

Qualifications

• Bachelor’s degree or equivalent.
• 5-10 (+) years of relevant experience in financial services, ideally in a control room, conflicts management, or legal/compliance role.
• Experience responding to regulatory examinations by securities regulators and/or self-regulatory organizations.is an asset
• Strong analytical, issue-spotting, and problem-solving skills, with the ability to clearly explain decision rationales.
• Excellent attention to detail and organizational skills.

Compensation, Benefits & Location:

This role offers a range of competitive compensation and a highly competitive benefits package in the alternative legal services marketplace that includes health benefits and paid time off. Axiomites also get access to professional development resources and learning and development programs. Axiomites work both / either remotely or on site with our clients, depending on theirs and client’s preferences.

Axiom is the global leader in high-caliber, on-demand legal talent. Covering North America, the UK, Europe, and APAC, we enable legal departments to drive efficiency and growth and meet the demands of today’s business landscape with best in breed alterative legal services.

Axiom is a leader in diversity, inclusion, and social engagement. Diversity is core to our values, and we are proud to be an equal opportunity employer. We are proud to be named a best place to work for LGBTQ+ Equality, earning top marks in the 2021 Corporate Equality Index for the second consecutive year. Axiom’s legal department is Mansfield certified and is committed to considering at least 50% diverse candidates for leadership roles and outside counsel representation.

Equal Opportunity Employer: Axiom ensures equal employment opportunity in recruitment and employment, without discrimination or harassment on the basis of race, color, nationality, national or ethnic origin, religious creed or belief, political opinion, gender reassignment, pregnancy or maternity, age, disability, alienage or citizenship status, marital (or civil or other partnership recognized by law) status, genetic predisposition or carrier status, sexual orientation, military service, or any other characteristic protected by applicable law. Axiom prohibits and will not tolerate any such discrimination or harassment.

Accommodation for Individuals with Disabilities: Upon request and consistent with applicable laws, Axiom will provide reasonable accommodation for individuals with disabilities who require accommodation to participate in each stage of the recruitment process. To request an accommodation to complete the application form, please contact us at benefits@axiomlaw.com and include “Applicant Accommodation” in the subject line.

Axiom respects your privacy. For an explanation of the kind of information we collect about you and how it is used, our full privacy notice is available at https://www.axiomlaw.com/privacy-notice.

Employment with Axiom may be contingent upon successful completion of a background check, providing proof of identity, and possessing the necessary legal authorization to work.

By submitting an application, you acknowledge that all information contained therein, and provided at any part of the application process, is correct and accurate to the best of your knowledge.

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