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Job ID Number: 1255967595
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Hot Jobs |
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| Job Title: |
Senior Level Control Room Compliance Officer |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Serve as principal deputy in multi-faceted, regional Control Room
Main Duties
• Participate in all aspects of the day to day operation of the Control Room for the US region and help provide oversight and monitoring of Control Room staff
• Assist in the establishment, oversight and maintenance of Chinese walls and information barriers throughout the region
• Assist in the oversight and maintenance of the Firm's Watch and Restricted lists and wall crossing procedures for the region
• Advise trading desks on acceptable trading strategies in restricted securities
• Assist in the management of trade surveillance and monitoring functions
• Advise on relevant U.S. Securities Law matters
• Assist in responding to various regulatory inquiries
• Liaise with the Research, Advisory, Conflicts and business Compliance teams and with other regional Control Rooms
• Participate in the creation and maintenance of policies, procedures and guidelines for all Control Room functions
• Assist in training efforts of incoming Firm analyst and associate classes and new employees in the Control Room
Please send resumes to Jack Kelly at JKelly@ComplianceSearch.com
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