Green Key Resources
This range is provided by Green Key Resources. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range $170,000.00/yr - $190,000.00/yr
Additional compensation types Annual Bonus
Director-Head of Control Room We are seeking an experienced professional to lead our Compliance Control Room team within our Capital Markets Compliance Department. The successful candidate will be responsible for overseeing the control room’s daily operations and managing the Firm’s information barrier framework. This role requires effective monitoring and handling of material non-public information (MNPI), conflicts of interest and regulatory compliance associated with activities related to all departments (investment banking, research and sales & trading). This position requires strong analytical and communication skills and the desire to take initiative and assume responsibility. This position reports to the Head of Capital Markets Compliance and works on a hybrid schedule (WFH Mondays & Fridays).
About the Role The successful candidate will be responsible for overseeing the control room’s daily operations and managing the Firm’s information barrier framework.
Responsibilities
Oversee the Firm’s information barrier program
Maintenance of the Firm’s Watch (Grey) and Restricted lists
Review and approve all wall-crossing requests and maintain recordkeeping
Conduct in-depth analysis and research to determine potential conflicts related to investment banking transactions
Manage the flow of MNPI between the relevant departments (investment banking, research and sales & trading)
Advise on any restrictions related to deal transactions or MNPI
Chaperone calls and activity between Research, Sales & Trading and Investment Banking
Review and Approve Research publications related to the Grey and Restricted lists
Advise the Research Services team, of any disclosure requirements related to investment banking transactions and Research covered companies
Monitor employee and firm trading activities related to grey and restricted list
Update and maintain policies and procedures governing the control room and information barrier operations
Maintain attestations related to the Control Room within MyComplianceOffice (MCO)
Conduct periodic training related to the Control Room to all employees
Partner and coordinate with Compliance team members and business partners to ensure compliance with the Firm’s policy and procedures
Qualifications
Ten years of experience in a regulatory or compliance setting
Knowledge and prior experience working with Control Room functions within an investment banking broker dealer
Strong understanding and knowledge of regulatory rules associated with information barrier standards
Required Skills
Superior oral and written communication skills
Exceptional judgement, analytical skills and attention to details
Ability to operate effectively in a fast paced and high-pressure environment
A desire to excel
Preferred Skills
Legal training and/or direct regulatory experience
Experience with general regulatory compliance requirements for a broker dealer
Seniority level Director
Employment type Full-time
Job function Finance
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Base pay range $170,000.00/yr - $190,000.00/yr
Additional compensation types Annual Bonus
Director-Head of Control Room We are seeking an experienced professional to lead our Compliance Control Room team within our Capital Markets Compliance Department. The successful candidate will be responsible for overseeing the control room’s daily operations and managing the Firm’s information barrier framework. This role requires effective monitoring and handling of material non-public information (MNPI), conflicts of interest and regulatory compliance associated with activities related to all departments (investment banking, research and sales & trading). This position requires strong analytical and communication skills and the desire to take initiative and assume responsibility. This position reports to the Head of Capital Markets Compliance and works on a hybrid schedule (WFH Mondays & Fridays).
About the Role The successful candidate will be responsible for overseeing the control room’s daily operations and managing the Firm’s information barrier framework.
Responsibilities
Oversee the Firm’s information barrier program
Maintenance of the Firm’s Watch (Grey) and Restricted lists
Review and approve all wall-crossing requests and maintain recordkeeping
Conduct in-depth analysis and research to determine potential conflicts related to investment banking transactions
Manage the flow of MNPI between the relevant departments (investment banking, research and sales & trading)
Advise on any restrictions related to deal transactions or MNPI
Chaperone calls and activity between Research, Sales & Trading and Investment Banking
Review and Approve Research publications related to the Grey and Restricted lists
Advise the Research Services team, of any disclosure requirements related to investment banking transactions and Research covered companies
Monitor employee and firm trading activities related to grey and restricted list
Update and maintain policies and procedures governing the control room and information barrier operations
Maintain attestations related to the Control Room within MyComplianceOffice (MCO)
Conduct periodic training related to the Control Room to all employees
Partner and coordinate with Compliance team members and business partners to ensure compliance with the Firm’s policy and procedures
Qualifications
Ten years of experience in a regulatory or compliance setting
Knowledge and prior experience working with Control Room functions within an investment banking broker dealer
Strong understanding and knowledge of regulatory rules associated with information barrier standards
Required Skills
Superior oral and written communication skills
Exceptional judgement, analytical skills and attention to details
Ability to operate effectively in a fast paced and high-pressure environment
A desire to excel
Preferred Skills
Legal training and/or direct regulatory experience
Experience with general regulatory compliance requirements for a broker dealer
Seniority level Director
Employment type Full-time
Job function Finance
#J-18808-Ljbffr