Associate, Control Room Compliance, Investment Banking recruitment
The Company This is a rare control room compliance opportunity with a global investment bank! The successful individual will assume an important role in protecting the bank’s reputation and business activities through providing sound compliance advice to the investment banking and corporate advisory business units. The Role Ensuring suitable Chinese walls and information barriers are in place; Identifying and avoiding conflicts of interest; Managing and implementing the staff trading policy; Managing the restricted trading lists; Assisting with local and global compliance policy development Read more […]
Control Room Compliance, Investment Banking recruitment
The Company This reputable investment banking group with significant operations globally requires a junior VP to join their existing compliance department in order to support their control room function. The Role Monitoring Investment Banking activities; Clearing day to day Equity Research; Providing compliance advice to the Investment Banking business unit; Establishing and maintaining effective Chinese walls are in placed through the maintenance of the grey and restricted lists; Identifying and resolving conflicts of interest; Identifying control weaknesses, and implementing measures to Read more […]
Control Room Compliance, Financial Services ($40-60K) recruitment
The Company With continued expansion and market growth, this well reputed Global Financial Services firm is seeking to appoint a junior to mid level compliance canddiate to support the compliance and control room function. The Role Monitoring staff trading activities; Performing investment research, investment banking products and conflicts of interest clearance; Updating and maintaining Chinese walls across the firm through the maintenance of the grey and restricted lists; Providing compliance approval for staff dealing; Reviewing and implement enhanced compliance control policies and procedures; Read more […]
Associate – Control Room Compliance, Investment Bank – $40-60K recruitment
The Company An opportunity to truly make a difference. This role sits within the control room division at a reputable investment bank in a newly created head count. They are looking for an experienced control room professional with a background in IBD Compliance or Control Room Compliance. The Role – Researching, reviewing and clearing research reports; – Updating and maintaining Watch, Restricted Confidential and Grey list; – Ensuring suitable Chinese walls and information barriers are in place; – Monitoring wall-crossings in accordance with bank’s policy; – Monitoring staff trading activities; Read more […]
VP, Control Room Compliance, Global Investment Bank (1.2mill + base) recruitment
The Company Our client is a Global Investment Bank The Role As a part of a growing compliance team, you will be reporting to Head of Control Room Compliance, handling and maintaining Watch List Restricted List, development and implementation of Chinese Wall policies, supervising a small team of compliance professionals on daily staff dealing operation, insider dealing, as well as regular updates on regulatory and in-house policies. Your Profile The successful candidate will be a degree holder in Law or Accounting, with a professional qualification, with at least 7 years of experience working in Read more […]
Control Room Compliance, 6-month contract recruitment
Reputable Global Bank Great Career Opportunity with Immediate Start Date Competitive Compensation Package You will handle core control room responsibilities which include maintaining restricted/grey/confidential lists, monitoring wall crossing activities and issues, reviewing research reports and advising on pre-clearing as well as managing conflicts of interest. To qualify, individuals must possess: Immediate availabilityLegal or Compliance background preferredGood understanding of Investment Banking and Research related complianceExperience in working with ECM business i.e. MA/IPOs, origination Read more […]