Compliance Manager, Control Room recruitment
We currently have an opportunity within our Global Banking Markets Central Compliance function for an experienced Control Room Compliance Manager. Reporting to the Global Head of Control Room, key duties will include:Provide direction and support for the responsibilities and functions of the Compliance Control Room team.Act as key contact in the Control Room in relation to managing conflicts of interest including transaction approvals, personal account dealing and takeover panel disclosures etc.Conduct conflict management induction training for any new joiners to Compliance.Develop and refine Read more […]
Senior Compliance Manager – Control Room recruitment
Our client is a tier one Investment Bank. They are currently looking for a Senior Compliance Officer to join the Control Room within their accomplished Compliance Department. The Control Room operates with global scope and is responsible for maintaining and protecting the integrity of the business’ Chinese Wall.You main responsibilities will be:• Liaising with the bankers, obtaining regular deal updates and salient transaction information.• Monitoring and reviewing numerous business pipeline reports and publicly announced business.• Liaising with the Conflicts Office, ensuring any conflicts Read more […]
Senior Compliance Associate – Control Room recruitment
Responsibilities include:* Managing daily monitoring of employee trades, including pre post trade clearance, exceptions, appeals, and resolution tracking; * Applying the organizations policies and procedures to assess employee securities transactions and holdings for potential conflicts;* Managing and maintaining restricted lists; research securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists;* Provide support of employee securities trading classifications, restricted lists and exempted securities;* Research and review of equity positions and other Read more […]
Compliance Officer – Control Room recruitment
Main Responsibilities To ensure that any potential conflicts of interest are dealt with in accordance with the Conflicts of Interest Policy and are referred, as appropriate, to the relevant manager and within Compliance as appropriate To advise on the application of the Conflicts of Interest policy, and maintain the SGLB register of conflicts. To undertake appropriate conflicts checks ahead of new deals taking place, where required, and that appropriate and prompt notification of the results of the conflicts checks is made to the relevant business lines, once the conflict checks are completed Read more […]
VP, Control Room recruitment
Department Overview Barclays Capital is the investment banking division of Barclays Bank PLC. With a distinctive business model, Barclays Capital provides large corporate, government and institutional clients with a full spectrum of solutions to their strategic advisory, financing and risk management needs. Barclays Capital has offices around the world, employs over 23,000 people and has the global reach, advisory services and distribution power to meet the needs of issuers and investors worldwide. For further information about Barclays Capital, please visit our website www.barclayscapital.com. Read more […]
VP, Control Room recruitment
BA/BS Degree Required 5+ 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 For immediate and confidential consideration please send your resumes to John Liberatore jliberatore@infinity-cs.com