Overview

The Big Picture:

A global bank seeks an experienced Compliance proffesional for thier Control Room.  

The Compliance person will be responsible for an array of important matters including interfacing with investment bankes, traders, brokers, and other business professionals. This will be a high profile and important position.

 

What You Will Do:

Be involved with all facets of the Control Room including grey and restricted lists, review of research, and adherence to policies and procedures.

The person will advise senior level employees and management.  

Bring new ideas to the table.  

Protect the firm from securities law violations.

Maintain information barriers and control the flow of information.

Implement research, trading and sales/solicitation restrictions.

Global coordination to approve/deny research regarding investment banking transactions.

Evaluate investment banking transactions.

Review research notes/reports.

Coordinate with Corporate Finance, Mergers & Acquisitions.

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

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