Control Room Compliance Officer
The global Control Room network is extensive with offices in the U.S., Australia, Japan, Hong Kong, U.K. and Switzerland, all operating under a similar global framework of policies and procedures.
You will be expected to have an extensive understanding and experience of the core responsibilities of Control Room Compliance, including: Information Barriers, Grey and Restricted Lists, assessing and applying sales, trading and research restrictions, including knowledge of Takeover Panel Code; research clearance (including Investor Education), disclosures, US settlement requirements and advising on research independence issues. You will be expected to perform early shifts (7.30am) for a set number of days each week.
Some experience of managing and supervising a small team would be beneficial as you will be required to deputise for the Control Room team leader in terms of the day to day management and supervision of the team.
Also require strong interpersonal skills given the close contact across all functions within the bank that hold or originate Sensitive Information as well providing clear, accurate and timely advice on a broad range of items, including barrier crossings, sales, trading and research restrictions etc.
The team works closely with Research Product Management and Supervisory Analyst teams in the review, analysis and resolution of conflicts and questions arising from our research product as well as assisting both Research and IBD personnel in relation to IBD/Research interaction issues.
The core Control Room works closely with the CCS Compliance and ICS Compliance Advisory teams to provide accurate and consistent advice to their respective business areas, across a range of regulatory and reputational issues.
You will be also play a pivotal role within the global Control Room team, helping to deliver on the team’s global objectives and strategic projects. You must be motivated, able to manage workload and lead projects to a successful and timely conclusion
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