A Trillion-dollar Financial Services firm is looking to add a Compliance Officer- Control Room to their team. In this role, you will carry out the Second Line of Defense monitoring and trade & communications surveillance across the bank's operations. This role sits hybrid in New York.
Responsibilities
- Provide guidance on Firm Compliance policies related to Information Barriers and Investment Banking Conflicts of Interest.
- Conduct training sessions on the Firm's Information Barriers policies and procedures, and monitor relevant securities laws and regulations.
- Maintain and update the firm's Watch and Restricted Lists.
- Coordinate and document Wall Crossings.
- Review and approve the firm's research publications daily to ensure compliance with research compliance rules (e.g., Rules 138/139) and identify potential conflicts of interest.
- Review Investment Banking transactions for potential conflicts of interest and manage the Conflicts monitoring system, including compliance risk assessments and reporting.
- Chaperone Investment Banking interactions and Research.
- Monitor firm positions and handle regulatory filings in accordance with Sections 13D, 13G, and 16 of the Securities Act, as well as perform quarterly Section 13F filings.
- Assist in developing the Control Room Compliance program, including policy and technology advancements.
Qualifications
- Bachelor's degree
- 3+ years financial services experience in compliance for Control Room
- Working knowledge of securities regulation such as barrier/conflicts clearance practices and research rules.
- Watch and Restricted List experience
- US securities, Banking, and Anti-Money Laundering and Sanctions regulation experience