Control Room Research Compliance Manager
Responsibilities will include:
*Provide advice on compliance issues relating to Research and other similar products;
*Evaluating, revising and/or developing global policies and procedures as required to enhance Research compliance and meet changing regulation;
*Global coordination around cross border research issues;
*Communication and maintenance of conflict disclosures;
*Conflict check vetting and management as it relates to Research;
*Implementation, communication and advise on research restrictions and watch list Surveillance;
*Advise relating to wall crossings of Research staff ;
*Monitoring and testing the effectiveness of Research policies and procedures;
*Training Research staff as well as global Control Room staff on Research related policies and procedures;
*Supporting other core control room functions as needed.
Qualifications necessary:
* MUST HAVE at least 5 years of regulatory compliance experience gained within the Research compliance function of an investment bank;
* At least a Bachelors degree;
* A solid understanding of the US regulatory environment;
* Demonstrated team leadership capability, either direct or project related;
* Strong organizational, communication and persuasion skills.
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