Control Room – VP recruitment
Main Function
Assist the US Control Room with the following daily responsibilities listed below.
Main Duties
Main Responsibilities
• The establishment and maintenance of Chinese Walls throughout organisation
• Advise public and private side management with respect to Chinese Wall crossing requests
• Performing core Control Room functions relating to investment banking and research related matters including transaction updates and materiality analysis
• Review and approve equity and debt research reports against the Watch and Restricted List and to verify that conflict of interest disclosures are made where appropriate.
• Undertake 138/139 analyses to confirm presence of US distribution safe harbors in offerings.
• Chaperone communications between equity research personnel and banking personnel and advise research and banking personnel about the equity research settlement and appropriate interaction.
Maintain various records related to chaperoning, public appearances and disclosures
• Assist in advising research analysts on transaction related research restrictions, with respect to duration and nature of restriction.
• Assist in preparation of policies, procedures and guidelines on all of above issues
• Assist in preparation and presentation of training material for all of above issues
• Liaising with Global Control Room staff to ensure uniformity of the above
Person Requirements
Basic Qualifications:
- Bachelors degree or foreign equivalent
- 4+ Years experience in a Control Room or Research Compliance Capacity
- Must have knowledge of FINRA Rule 2711 and the Equity Research Settlement and global regulations relating to investment research and conflict management with a broad understanding of US Securities laws
Preferred Qualifications:
• Law degree (preferred but not required)
• Provide input and suggest enhancements to current processes, define problems, find solutions through interpretative and evaluative thinking
• Excellent communication skills both written and oral
• Assertive and confident manner with an investigative nature
• PC literate, Team player
To apply for this compliance opportunity, please contact Karen Lieu via karen.lieu@robertwalters.com or on 212-704-9900. To see more compliance opportunities, please visit the Robert Walters website.