AVP / VP, Control Room Compliance
Salary $100000 - $140000 per year
Location New York
Consultant Lucky Nguyen
Date posted June 22, 20187 Times Square New York NY 10036 Robert Walters United States of America
A well known investment bank is looking to expand their control room compliance team. This position will be working alongside the head of the control room and assist in managing in the control room compliance program.
About the Control Room Research Compliance Associate position:
This compliance officer will be working with a team within the control room and developing policies & procedures, interact with both the investment banking and research teams, and offer oversight of the control room team
- Assist in implementing and ensuring the integrity of the Firm’s Information Barriers and related policies and procedures
- Conduct conflict clearance and escalation processes
- Assist in developing procedures as required for purposes of conflict and insider dealing control management
- Implementation and maintenance of Watch and Restricted Lists
- Conduct surveillance of trading activities in relation to the Firm’s Watch and Restricted Lists
- Review excerpts from equity and debt research reports referred by Supervisory Analysts to ensure compliance with various restrictions
- Analyze applicable safe harbors for research under Sections 138 and 139 of the Securities Act of 1933
Feel free to apply or call me, Lucky Nguyen, for a confidential conversation at (212) 704-9900.