Control Room Officer (AVP) – London
Control Room Officer
Compliance Control Room Officer is needed by a leading Investment Bank. This is a top tier Investment bank seeking to expand it’s Control Room function and they are looking to replace an internal move as well as increase the size of the team.
Control Room Officer
The team has a wealth of experience and talented individuals, renowned for their excellence within the bank and in industry. Their focus is the maintenance of the Information barriers, review of Research, pre-clearance of certain transactions and providing advice to the surveillance team.
Control Room Officer
Control Room Officer’s main responsibilities will include:
- Ensuring compliance with procedures designed to prevent conflicts of interest.
- Closely monitor status of the firm’s Investment Banking projects and maintain Watch list Restricted list.
- Provide interpretation and advice of regulatory and policies requirements
- Participate in Audits and Compliance reviews
- Provide supervisory reviews of certain types of research and act as control check.
- Participate in training to business units; and
- Lead and mentor junior members of the team.
Control Room Officer
To be considered for this role, you need to have the following:
- University graduate/equivalent degree
- Have recent Control Room experience
- Familiar with UK, EU and/US compliance issues and relevant laws and regulations (e.g. Market abuse, Code of Market conduct, Financial Promotion etc.)
- Good working experience knowledge of relevant product areas (e.g. Research, Investment Banking, and Capital Markets, Sales Trading) and the main regulatory areas of focus for Control Group.
If you would like to know more about this position (or similar roles) please give me a call on 0207 092 3241 or drop me an email on d.bowenwright(at)eamesconsulting.com. Also please feel free to forward to someone that you know that will be interested in these roles or similar roles.
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