Role details

Markets Compliance Officer - Control Room

New York   •  Permanent

Bullet points

  • Markets Compliance Officer
  • Control Room

About Our Client

Large Global bank with more than close to $1 Trillion in assets, with a presence in over 40 countries.

Job Description

The responsibilities of the Markets Compliance Associate are part of the Compliance Department:

  • Responsible to administer all facets of the Control Room functions for the North America Wholesale activities, including coordination with global colleagues on cross-border situations. Develop and review daily reports of activities and/or exceptions to identify conflicts and help ensure compliance with policies and regulations. Enhance the Watch List and Restricted List processes by working closely with global compliance colleagues and local Branch businesses to ensure, among other things, timely entry of potential opportunities to internal system(s) and providing timely advice as needed with regard to requirements under firm policies.
  • Duties will include working with new, existing and departing employees to identify and effectively manage any personal or professional conflicts of interest, personal account dealing (including review and approval of trade pre-clearance requests), outside activities, and gifts and entertainment.
  • Communications Reviews: Duties include monitoring of communications systems to identify conflicts and help ensure compliance with applicable policies and regulations.
  • Assist in development and preparation of Markets Compliance related policies and procedures.
  • As workload permits, work with other compliance staff on adhoc projects.
  • Comply with all US laws, rules and regulations, including without limitation, AML and OFAC/Sanctions requirements and the reporting of suspicious activity (and all related policies, procedures and guidelines), as well as the:
  • Anti-Bribery and Corruption Policy
  • Anti-Money Laundering Policy
  • Clean Desk Policy
  • Code of Conduct
  • Complaint and Whistleblower Protection Policy
  • Conflicts of Interest Policy
  • Gift and Entertainment Policy
  • Information Barrier and Confidentiality Policy
  • Media Policy
  • Outside Interest Policy (Including Outside Business Activities and Private Investments)
  • Personal Investment Policy
  • Required Absence from Sensitive Position Policy
  • Sanctions Policy
  • World Wide Compliance Standards
  • Employee Policy Manual

The Successful Applicant


  • 3+ years of regulatory compliance experience
  • Previous experience with Control Room activities
  • Being time conscious when it comes to deliverables
  • Strong Microsoft Suite skills, especially Excel, Word, and Outlook
  • Desirable: Experience working for a non-U.S. based financial institution

Job Skills and Knowledge:

  • Strong analytical, communication and decision-making skills
  • Ability to work independently
  • Excellent written and oral communication skills
  • Good interpersonal skills in order to establish a rapport with internal and external parties
  • Thorough knowledge of applicable laws and regulations
  • Ability to read, analyze and interpret governmental regulations and regulatory issuances
  • Ability to analyze complex issues and provide sound judgement in decision making process
  • Must be well organized with the ability to manage multiple tasks

What's on Offer

New York Branch offers a comprehensive benefits program that is among the finest in the industry featuring:

  • Medical/Dental/Vision Plans
  • Defined Contribution (401k) Plan with Employer Match
  • Paid Vacation based on position and length of service
  • Life and Disability Insurance
  • Health and Dependent Care Flexible Spending Plans
  • Transportation Reimbursement Incentive Plan
  • Educational Assistance Program

Also offering:

  • Portable Voluntary Benefits including Pet Insurance
  • Automobile and Homeowner's Insurance
  • Cancer Protection Plan
  • Legal Insurance Plan
  • Optional Life and Disability Insurance

Apply for this job

Click the Apply or LinkedIn button below or contact Maria Talebian quoting job reference 1194015
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