Phyton Talent Advisors | Investment Banking
7 days ago
Full-service BD and investment bank is seeking an experienced compliance professional to join as a control room specialist. The ideal candidate will have solid experience in various functions, such as Watch & Restricted Lists, Wall crossing. The ideal candidate will thrive in a fast-paced environment, handling sensitive information while maintaining the highest standards of confidentiality and regulatory compliance. This role will report directly to the Chief Compliance Officer (CCO) and offers an opportunity to make impactful contributions to the compliance framework of a leading financial institution.
Key Responsibilities:
- Oversee the maintenance and monitoring of the bank’s watch and restricted lists, ensuring compliance with relevant regulatory requirements and internal policies.
- Facilitate and manage wall-crossing procedures, advising business units on compliance issues and maintaining meticulous records of material non-public information (MNPI).
- Serve as a key point of contact for advising on compliance matters, including information barriers, conflicts of interest, and regulatory changes that impact control room activities.
- Implement and manage surveillance protocols to detect potential breaches of information barriers and trading activities, escalating findings as necessary.
- Assist in developing, updating, and communicating policies and procedures related to control room operations, ensuring alignment with industry best practices.
- Support the CCO in conducting training sessions for employees to reinforce awareness of control room policies, insider trading laws, and overall regulatory obligations.
- Work closely with other compliance teams, legal counsel, and business units to maintain cohesive compliance oversight. Prepare reports and contribute to internal audits or regulatory examinations.
Qualifications:
- Experience: 5-7 years of relevant compliance experience, ideally within a control room setting at an investment bank.
- Knowledge: Strong understanding of regulatory frameworks, information barriers, insider trading laws, and financial industry best practices.
- Detail-oriented with excellent analytical and problem-solving skills. Proficiency in handling confidential information with discretion.
- Strong written and verbal communication skills to effectively convey complex compliance concepts and interact with senior leadership.
- Bachelor’s degree in Finance, Law, Business Administration, or a related field. Advanced degrees or relevant certifications (e.g., Series 7, Series 24, or CRCM) are a plus.
What We Offer:
- A competitive salary up to $160K base, plus bonus opportunity.
- A comprehensive benefits package including health, dental, vision, and retirement plans.
- A collaborative and supportive work environment with opportunities for career development.
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