You will be a member of the EMEA Control Room, which forms part of the Global Control Room and which has prime responsibility for maintaining the firm’s Chinese Walls and Global Watch and Restricted Lists.
The Global Control Room has offices in New York, San Francisco, Hong Kong, Tokyo, Sydney and Mumbai and operates under a global framework of policies and procedures.
You will report to the Head of EMEA Control Room (ED). The Control Room currently consists of 8 employees.
Key Duties & Responsibilities
- Day to day involvement in the core responsibilities of Control Room Compliance including:
- Maintaining and monitoring the firm’s Chinese walls/ wall crossings/ flow of non-public information
- Pre-clearing permitted communication between banking and research
- Obtaining deal updates from bankers
- Implementing necessary sales, trading and research restrictions,
- Research clearance
- Maintaining the firm’s insider lists
- Providing advice and guidance to front office businesses in respect of permissible interaction with research analysts/providing chaperoning as necessary and on implications of firm’s Restricted List Policy and other Control Room related activities.
- Providing ongoing advice and guidance to the business in respect of Chinese wall, insider dealing and market abuse issues.
- Participating in the Compliance team training efforts and taking responsibility for providing training to various business areas in specific areas of expertise.
- Participating in the conduct of internal and external enquiries and investigations as necessary.
Knowledge, Skills & Experience Required
- Previous legal or compliance experience, with exposure to a Control Room environment preferable.
- Methodical person with attention to detail, strong administrative skills and analytical approach to problem solving.
- Ability to identify issues and know when to escalate.
- Ability to meet tight deadlines and to make quick and reasoned decisions under pressure.
- Excellent interpersonal skills, strong personality, confident, highly motivated and organised. A team player, but able to operate under own initiative.
- Exposure to regulatory and internal control requirements, particularly in relation to effective Chinese wall arrangements, would be an advantage.