Madison-Davis, LLC
Base pay range
$170,000.00/yr - $190,000.00/yr
A $150 billion asset management firm, looking to bring on board a “Director - Control Room” to join their broker dealer in San Francisco. This firm is operating in a hybrid capacity (4 days in office). If you are interested or have any questions, please email at avuceljic@madisondavis.com.
Responsibilities
Maintenance of the Firm’s watch and restricted lists. Conduct conflict searches for relevant activity across all business units and affiliated entities. Review research reports, market commentary, public appearances and non-deal roadshow requests and handle watch and restricted list considerations. Process and manage ‘wall-crossing’ requests. Assist in preparing responses to FINRA underwriter questionnaires. Information barrier monitoring and watch and restricted list trade surveillance. Provide advice on and monitor interactions and communications between Research and Investment Banking, including chaperoning calls/meetings between Investment Banking and Research. Develop and maintain a strong relationship between Compliance and business unit professionals through effective communication. Rotational weekend coverage. Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance Industries
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Maintenance of the Firm’s watch and restricted lists. Conduct conflict searches for relevant activity across all business units and affiliated entities. Review research reports, market commentary, public appearances and non-deal roadshow requests and handle watch and restricted list considerations. Process and manage ‘wall-crossing’ requests. Assist in preparing responses to FINRA underwriter questionnaires. Information barrier monitoring and watch and restricted list trade surveillance. Provide advice on and monitor interactions and communications between Research and Investment Banking, including chaperoning calls/meetings between Investment Banking and Research. Develop and maintain a strong relationship between Compliance and business unit professionals through effective communication. Rotational weekend coverage. Seniority level
Mid-Senior level Employment type
Full-time Job function
Finance Industries
Financial Services and Banking Referrals increase your chances of interviewing at Madison-Davis, LLC by 2x Get notified about new Director Control jobs in
San Francisco Bay Area .
#J-18808-Ljbffr