Control Room Specialist
One of the world’s most pre-eminent investment banks is looking to recruit an Associate Director Control Room Officer into their market leading compliance function.
Based in the City of London, this tier 1 investment bank is a well-recognised European player with a strong belief in learning, development and internal career progression. The role’s conception is a result of the bank’s continued growth and the need to expand their compliance function in line with their growing EMEA presence. The bank benefits from an excellent culture throughout their compliance function; encouraging internal mobility across teams and offering rapid career progression.
Naturally inquisitive, you will be able to break down complex issues, assess regulatory risk and recommend appropriate actions to help deliver the global Control Room team’s objectives, projects and initiatives. Working closely with the Research, Equities and Compliance Advisory teams, you will provide accurate and consistent advice to business areas covering a range of regulatory and issues.
The ideal candidate will:
• Have previous experience working in an Investment Bank Control Room, specifically with Watch Lists and Restricted Lists, Information Barriers and Research clearance, conflicts of interests, disclosures and independence issues.
• Have a detailed understanding of the rules that govern Control Room activities, including:
o US Rules 138 and 139 in relation to Research
o FSA conduct of business rules
o Listing Rules
o UK Takeover Panel Rules
o European Directives
o US securities regulations
This is a great opportunity to join one of the markets leading teams with real opportunities to develop and progress. The exposure to advisory work is unique to the market and can offer candidates an exciting opportunity.
For more information about this exciting opportunity or for a conversation around the market please get in touch
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