Lead impactful compliance operations at a prestigious financial services firm. Shape regulatory strategies and ensure ethical practices across departments. Hybrid work schedule offers flexibility and work-life balance.
Director Control Room Compliance
in Financial Services PermanentJob Detail
Job Description
Overview
- Lead the Compliance Control Room team within the Capital Markets Compliance Department.
- Oversee daily operations and manage the Firm’s information barrier framework.
- Monitor and handle material non-public information (MNPI) and conflicts of interest.
- Ensure regulatory compliance across investment banking, research, and sales & trading activities.
- Collaborate with the Head of Capital Markets Compliance in strategic initiatives.
- Provide training and guidance on compliance policies and procedures.
- Work in a hybrid schedule with flexibility for remote work on specific days.
Key Responsibilities & Duties
- Oversee the Firm’s information barrier program and maintain Grey and Restricted lists.
- Review and approve wall-crossing requests and ensure accurate recordkeeping.
- Conduct analysis to identify potential conflicts in investment banking transactions.
- Manage MNPI flow between investment banking, research, and sales & trading departments.
- Advise on restrictions related to deal transactions and MNPI handling.
- Chaperone calls and activities between Research, Sales & Trading, and Investment Banking.
- Monitor employee and firm trading activities concerning Grey and Restricted lists.
- Update and maintain policies and procedures governing control room operations.
- Conduct periodic training sessions for employees on control room compliance.
Job Requirements
- Bachelor of Arts (BA) degree required; legal training or regulatory experience preferred.
- Minimum of 10 years of experience in regulatory or compliance settings.
- Knowledge of Control Room functions within investment banking broker-dealers.
- Strong understanding of regulatory rules associated with information barrier standards.
- Exceptional analytical skills and attention to detail.
- Superior oral and written communication and presentation skills.
- Ability to excel in fast-paced and high-pressure environments.
- Proficiency in compliance tools such as MyComplianceOffice (MCO).
- Commitment to ethical practices and professional excellence.
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