Compliance Division, Control Room Associate/VP recruitment

Job Summary Responsibilities 

 BUSINESS UNIT AND ROLE OVERVIEW

The Control Room is primarily responsible for preserving the integrity of the firm’s information barriers and compliance with certain key regulatory mandates.  Team members are exposed to a dynamic environment that requires interactions with all firm businesses. The candidate will work closely with the London team in assisting with day to day Control Room flows (e.g., managing the Grey List and Restricted Trading List, dealing with wall crosses and reviewing and clearing Global Investment Research publications), chaperoning communications between the Investment Banking Division and Global Investment Research, and other ad hoc Control Room tasks.

RESPONSIBILITIES

• Liaising with IBD in order to maintain the Control Room Lists (such as Restricted, Grey and Wall Cross).

• Responding to queries from traders and sales people about trading restrictions.

• Reviewing and applying global regulations in the context of the principal responsibilities referred to above – particularly focusing on the UK Takeover Panel Code, the EU Market Abuse Directive and US regulations.

• Pre-approving and “chaperoning” all communications between IBD (Investment Banking Division)  and GIR (Global Investment Research).  This will include telephone, email and in-person meetings to ensure compliance with the requirements of the Global Research Settlement.

• Reviewing investment research produced by GIR to ensure compliance with applicable rules, regulations and policies, amending as necessary.

• Interaction with Control Room colleagues in overseas jurisdictions on the application of relevant regulations with the possibility of trips to overseas offices.

• Involvement in project initiatives relating to the Control Room, including enhancing and developing system architecture that supports the function. 

 Preferred Qualifications 

 SKILLS / EXPERIENCE

• Good understanding of the investment banking and research businesses as well as securities related rules and regulations

• Excellent written and verbal communication skills

• Strong analytical and judgment skills, attention to detail and thoroughness of execution

• Ability to work in fast pace and intense environment

• Good team work