Director Control Room Compliance

Overview

• Lead compliance operations within a dynamic financial services firm, ensuring adherence to regulatory standards and fostering ethical practices.
• Oversee information barrier frameworks, managing sensitive data and mitigating conflicts of interest effectively.
• Collaborate with senior leadership to implement strategic compliance initiatives across various departments.
• Provide expert guidance on compliance policies, promoting a culture of integrity and accountability.
• Enhance operational efficiency through seamless integration of compliance tools and processes.
• Contribute to the firm's reputation for excellence in regulatory compliance and ethical standards.
• Work in a hybrid environment, combining remote flexibility with on-site collaboration.

Key Responsibilities & Duties

• Manage the firm's information barrier program, maintaining Grey and Restricted lists with precision.
• Review and approve wall-crossing requests, ensuring compliance with regulatory requirements.
• Analyze investment banking transactions to identify and address potential conflicts of interest.
• Oversee the flow of material non-public information (MNPI) across departments, ensuring secure handling.
• Advise on restrictions related to MNPI and deal transactions, ensuring adherence to compliance standards.
• Conduct training sessions to educate employees on compliance policies and procedures.
• Monitor trading activities to ensure compliance with Grey and Restricted list regulations.
• Develop and update policies governing control room operations, ensuring alignment with industry best practices.

Job Requirements

• Bachelor of Arts (BA) degree required; advanced legal or regulatory training preferred.
• Minimum of 10 years of experience in compliance or regulatory roles within financial services.
• In-depth knowledge of control room functions and information barrier standards.
• Exceptional analytical skills and attention to detail, ensuring thorough compliance oversight.
• Proficiency in compliance tools and systems, such as MyComplianceOffice (MCO).
• Strong communication and presentation skills to effectively convey complex compliance concepts.
• Ability to thrive in fast-paced environments, managing multiple priorities with professionalism.
• Commitment to ethical practices and fostering a culture of compliance excellence.