A little about the company and position
A highly successful alternative investments firm seeks a Control Room Manager. The role sits within the Compliance Team and is responsible for developing and implementing a global control room strategy and assist with the administration of firm‐wide policies designed to ensure the firm and its respective platforms fulfill their regulatory obligations, manage conflicts of interest as well as information barriers to prevent the misuse of material nonpublic information.
The role requires regular interaction with senior management, as well as business and compliance groups across the entire organization. This individual will report to the Chief Compliance Officer.
The company is open to people who would like to relocate to the Dallas/Fort Worth area.
Here’s what you will do
- Develop and implement policies, procedures, and controls around the firm’s restricted trading list and watch list
- Identification, escalation and management of conflicts of interests across groups, both regionally and globally
- Implementation, communication and maintenance of firm watch lists and restricted lists.
- Assisting in developing policies and systems for firm wide administration of control room and conflict issues
- Advise business groups on all information barrier issues which include, but are not limited to, new business products & initiatives, space sharing and technology access
- Review and process trading and private investment requests
- Coordinate with outside law firms, deal professionals, and other members of legal and compliance to identify and mitigate potential conflicts, including monitoring investment review committee meetings
- Implement, monitor, and dismantle temporary information barriers
What the company would like to see in a candidate
- Must have 6+ years of relevant work experience and a minimum of 3 years prior control room or similar experience
- Excellent organizational, communication and negotiation skills
- Proven project management experience with a proven ability to deliver on initiatives
- Experience in the management of conflicts of interest
- Have the ability to take a pragmatic, commercial approach to risk and compliance while achieving desired outcomes
This is an excellent opportunity to move into a globally focused function with strong career prospects
Please email resumes to Jack@ComplianceSearch.com