Investment Bank Control Room- Associate
A number of large Investment Banks are currently looking for experienced Control Room professionals. Demand has increased in the market as this has been highlighted by the regulator as a key part of compliance. The markets are also seeing a large increase in the number of IPOs hence increasing the need for the Control room
The firm:
A number of leading banks are currently looking, one in particular is a Tier 1 Bank that sits at the top of the European and global league tables for Capital Markets advisory and in the UK is one of the leading Corporate Broking Houses on the market. The firm represents over 100 of the highest performing listed businesses in the UK and has deep relationships with many of the Euro 600 companies on the continent. Hence their Control Room is vital to its operations and the staff are highly regarded throughout the market.
What to expect:
Work in the Control Room is evenly spread so that all members get exposure to key areas. Everyone will have access to global Heads and have heavy investment in their training. Some examples of work is as follows:
Maintaining the firm's Watch List and Research and Trading Restricted Lists
Imposing restrictions on the firm's Research and/or trading activities in connection with the firm's advisory, principal investment and other activities
Manage wall crossings through the Firm’s wall crossing procedures and provide advice on Information barriers
Review both Equity and Credit Research for potential issues with applicable laws and firm policies regarding the publication and dissemination of Research in issuers on the Watch and Restricted Lists
The candidate:
Candidates need to have Control Room experience, its very important that they understand the function and regulation. Candidates can have anywhere between 1 year to 5 years control experience.
This a great role to explore a new bank and opportunity, many of these opportunities offer real progression in compliance and into advisory work.
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