Control Room

2 weeks ago

Manhattan, United States Larson Maddox Full time

JOB TITLE - Control Room Compliance Officer

STRUCTURE - Hybrid

JOB SUMMARY:

Include, but are not limited to:

  • Provide Firm Compliance policy guidance with respect to Information Barriers and Investment Banking Conflicts of Interest.
  • Conduct training on the Firm's policies and procedures relating to Information Barriers. Monitor securities law and related rules and regulation in this area.
  • Maintain and update the firm's Watch and Restricted Lists.
  • Coordinate and record Wall Crossings.
  • Conduct day-to-day review and clearance of the firm's research publications in compliance with research compliance rules (e.g., Rules 138/139) and to identify potential conflicts of interest. Liaise where necessary with the business, Supervisory Analysts, Compliance and Legal.
  • Conduct review of Investment Banking transactions for potential conflicts of interest and maintain the Conflicts monitoring system. Liaise where necessary with the business, Compliance and Legal.
  • Support Investment Banking Compliance Coverage in executing the Investment Banking Compliance program, including compliance risk assessments and reporting.
  • Chaperone interactions between the Investment Banking and the Research.
  • Conduct firm position monitoring and respective regulatory filings pursuant to Section 13D, 13G and 16 of the Securities Act. Perform quarterly Section 13F filings,
  • Assist in the development of the Control Rom Compliance program including, policy and technology developments.
  • Liaise with the Surveillance team regarding potential issues with respect to Watch and Restricted List trading activities.
  • Effectively partner, and work closely with other Compliance teams, including Bank Regulatory; Regulatory Change and Policy; Licensing and Registration; Personal Account Dealing, including Outside Business Activities and Personal Investments; and Surveillance.
  • Liaise with Europe and Asia Control Rooms to ensure global consistency where necessary and/or desirable.
  • Assist in the conduct of internal and regulatory inquiries and investigations, as necessary.
  • Coordinate Compliance issue management, escalation, and reporting.

Profile

The US Compliance department carries out Second Line of Defense monitoring of the corporate banking, investment banking and broker-dealer activities across US operations, reporting on the compliance risks and issues to local, regional, and head office management. The staff provide the business lines with guidance on relevant laws, rules, and regulations applicable to their activities and the development of related policies, procedures, training, and controls. The department ensures compliance with US securities, banking, and anti-money laundering and sanctions regulations, oversees key processes and risks of the Know-Your-Customer program. Additionally, it provides trade and communications surveillance, and manages transversal support functions that help the department achieve its goals.

Competencies:

Must Haves:

  • Bachelor's degree (JD desirable, securities licenses a plus)
  • At least 3-5 years relevant financial industry experience in compliance for Control Room, including Research
  • Solid understanding of securities regulation particularly information barrier / conflicts clearance practices and research rules.
  • Ability to analyze complex situations and provide guidance in time sensitive situations. Resolve issues quickly and effectively.
  • Ability to multi-task in a fast-paced environment.
  • Excellent organizational, oral, and written communication skills.
  • Attention to detail.
  • Strong interpersonal skills. Must be team player.
  • Strong work ethic and professionalism.
  • Adaptability and flexibility in a changing environment.

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