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Compliance Control Room Specialist

1 month ago

New York, New York, United States Wedbush Securities Full time
Job Description

Wedbush Securities is a leading investment bank seeking a highly skilled Compliance Control Room Specialist to oversee controls designed to mitigate conflicts of interest, protect confidential information, and preserve the integrity of the firm's information barriers. This hybrid role can be based in Los Angeles or New York City.

Key Responsibilities:
  • Analyze data and derive insights and risk indicators using business intelligence tools.
  • Assist in implementing information barrier policies and procedures by maintaining watch and restricted lists, deal lists, and handling conflicts clearance.
  • Monitor employee personal trading and electronic communications, and perform periodic compliance testing/surveillance.
  • Monitor employee gift and entertainment, political contributions, and outside business activities.
  • Communicate with Sales, Trading, Research, and Investment Banking personnel regarding specific firm transactions and compliance-related issues.
  • Participate in drafting compliance-related policies and procedures, making recommendations to develop or enhance business unit procedures as they relate to Compliance Control Room (CCR).
  • Act as the gatekeeper and chaperone with respect to permitted conversations between restricted groups of employees and potential compliance issues arising out of monitored interactions.
  • Respond to compliance-related questions from management and staff.
  • Assist in keeping the CCR current on relevant regulatory changes.
  • Develop and implement compliance-related monitoring and compliance metrics relevant to CCR functions; performing and/or overseeing information for compliance reporting to management.
  • Develop, coordinate, and deliver initial and ongoing training for employees on compliance requirements of designated laws, regulations, and policies.
  • Analyze and report on relevant risk indicators and assist in identifying and remediating emerging compliance risks.
  • Manage multiple, deadline-oriented tasks in a fast-paced environment.
  • Respond to regulatory inquiries, interacting with regulatory examiners and internal auditors, and provide advice and guidance to business partners.
  • Perform other duties as required and assigned.
Requirements:
  • Bachelor's Degree from an accredited university required.
  • Minimum 5 years experience at a registered broker-dealer, investment manager, or US bank.
  • Solid understanding of the nature of protection of information, in particular managing confidential and material non-public information.
  • Understanding of FINRA, SEC, and other regulatory requirements.
  • Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint).
  • Ability to manage controls to prevent and detect insider trading by employees.
  • Highly organized with the ability to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency.
  • High levels of ethics, integrity, and judgment.
  • Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization.
  • Extremely detail-oriented, strong analytical, problem-solving, and critical-thinking skills.
  • Self-starter able to work independently with minimal supervision as well as within a fast-paced team environment.
Benefits:
  • Comprehensive medical, dental, and vision coverage with multiple health plan options.
  • Health Savings Account (HSA) with company-sponsored contributions.
  • Flexible Spending Accounts (FSA) traditional and dependent care.
  • Pre-Tax Commuter Benefits.
  • 401(k) Plan: competitive discretionary company matching and profit-sharing contributions.
  • Tuition reimbursement ($5,250 max per year).
  • Paid Vacation, Sick Time, Holidays, Volunteer Time Off.
  • Paid Leave: Parental Bonding, Jury Duty, Military, Disability, etc.
  • FINRA and Professional License Sponsorship.
  • Charitable Donation Matching Contributions.
  • Travel & Employee Assistance and Employee Discount Programs.
  • Discretionary compensation based on the colleague's and the firm's performance.