Senior Control Room Officer – Investment Bank recruitment
Responsibilities:
-Maintain the Firm's Grey and Restricted lists
-Advise public side business groups on the impact of the Restricted List on their day-to-day activities
-Liaise with the Conflicts Office to ensure conflicts cleared transactions are added to the Grey List in a timely manner
-Advise on appropriateness of proposed wall crossings and coordinate the process
-Conduct information debriefings for employees moving from private to a public side function
-Advise on the Chinese Wall designations of business groups and individuals across the Firm
-Provide Chinese Wall / Insider Induction and refresher training to all designated insiders
-Liaise with the Surveillance team, and escalate as necessary any potential Chinese Wall breaches as part of the Firm's ongoing monitoring of Grey and Restricted Lists
-Act as the Compliance Chaperone for relevant banker / research analyst communication, as required under the US Research Settlement and internal policy
-Liaise with The Panel on Takeover and Mergers on research clearance related issues
Skills:
-Previous experience of working within the Control Room of an investment bank is a must
To discuss this in more detail, please contact Ash Mohite on 0203 465 0110 or alternatively at ash.mohite@hays.com