Overview

DESCRIPTION

The investment banking division of a diversified financial services firm seeks a Compliance Control Room Associate to be based in their New York City offices.

The ideal candidate will have a minimum of three year’s experience preferably in a Control Room environment.  The candidate would also possess a general understanding of current regulatory environment and financial markets and/or securities regulation and rules, exceptional verbal and written communication skills, confidence to interact with senior management, ability to work independently and as a team member in a fast-paced environment. The candidate would also have outstanding time management skills and the ability to multitask.

Responsibilities:

  • Maintain the Firm’s Watch List and Restricted List in collaboration with Investment Banking/Capital Markets and Research
  • Chaperone and vet communications between and among Investment Banking/Equity Capital Markets, Research, and Sales & Trading
  • Serve as an advisor to the Director Of Research and other business units’ Heads (Sales, Trading, Investment Banking and Capital Markets) on general compliance matters and permissible interaction with Research analysts
  • Liaise between Research Supervisory Analysts (SAs) and Compliance for review and clearance of research publication in compliance with Rule 2241 and identify potential conflicts of interest-
  • Liaise with Legal and other areas of Compliance in order to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations
  • Confirm and review all disclosures on Research Reports (adding/changing/removing) as required under Rule 2241 as well as serve as advisor to Research Supervisory Analyst team
  • Ensure disclosures are provided to media source for Research, Investment Banking and or any other Firm employees prior to their public appearances
  • Monitor communications between Research and the rest of the business units
  • Monitor material nonpublic information and who has it within the Firm, as well as activities around Information Barriers such as, but not limited to, employee and Firm trading
  • Monitor communication and the information barriers among Research, Corporate Access, Equity Capital Markets, Investment Banking and Sales & Trading surrounding firm sponsored events (Non-Deal Roadshows, conferences, etc.)

Basic Qualifications  

  • Minimum of 3 years working experience (preferably in a Control Room environment) with undergraduate degree
  • Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
  • Excellent verbal and written communication skills
  • Ability and confidence to successfully interact with senior business management and senior bankers
  • Ability to work independently, as well as a member of a team in a fast-paced environment
  • Detail-oriented with ability to multitask, organize and prioritize

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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