Compliance Officer- Control Room
Location
Manhattan, NY | United States
Job description
A Financial Services firm with over $400 billion in assets under management is looking to add a Compliance Officer- Control Room to their Americas Compliance Department! In this role you'd be joining a team of 12 reporting to the Managing Director. This role will sit hybrid out of their New York City office (2-3 days in office).
Responsibilities:
- Act as the Compliance Subject Matter Expert for Information Barriers within the Control Room, including MNPI, research rules, and Regulation M
- Cultivate and sustain relationships with key stakeholders, such as business units and other risk management functions, to ensure the effective implementation of compliance initiatives.
- Support in maintaining the Firm's Global Watch and Restricted Lists, including monitoring updates from investment banking teams.
- Provide expert guidance to research, sales, and trading teams regarding various restrictions.
- Aid in vetting research requests from Investment Banking, managing related wall crossings, and facilitating meetings between Investment Banking and Equity Research.
- Offer advisory support to business groups, Legal, and Compliance colleagues concerning Information Barriers, wall crossing protocols, sensitive information handling, and need-to-know policies.
- Review and approve equity research materials as necessary.
- Address inquiries from Internal Audit and regulatory bodies promptly and accurately.
- Undertake assigned projects from supervisors or Compliance senior management.
- Contribute to the formulation of compliance-related policies and procedures, suggesting improvements where applicable, and addressing compliance-related queries from staff and management.
Qualifications:
- Bachelor's degree required, a Masters degree is a plus
- 8+ years of relevant Compliance or Control Room experience
- FINRA Broker Dealer experience
- Experience on desk trading surveillance related to Watch and Restricted list preferred
- FINRA licenses (e.g., Series 7, 24) preferred
Job tags
Salary
