Control Room Compliance Officer

Manhattan, New York Permanent USD100,000 - USD125,000 per year
  • Opportunity to join a Dynamic Compliance Team
  • Client will move quickly with qualified candidates

About Our Client

Our Client is an Boutique Investment Bank located in Manhattan, New York.

Job Description

Responsibilities:

  • Maintain, update, and monitor the Firm's Watch List and Information Barriers
  • Provide guidance to employees and enforce policies and procedures related to Watch List management and the timely reporting of material non-public information
  • Conduct periodic reviews and assessments to ensure the effectiveness of information barriers and internal control processes
  • Monitor and evaluate employee compliance with the Firm's policies and procedures, including those related to personal trading, account disclosure, and outside activities
  • Review and respond to employee personal trade and brokerage account requests
  • Collaborate with the Firm's IT team to leverage existing and new technologies to support the Firm's supervisory and surveillance programs
  • Conduct compliance assessments around Firm wide technology initiatives and provide guidance on compliance and regulatory implications



MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

Qualifications:

  • Bachelor's Degree
  • 3-6 years of experience within a Compliance Capacity.
  • Familiarity with Control Room, Watch/Restricted Lists, Employee Compliance,etc.
  • Strong technical skills

What's on Offer

Our client offers:

  • Competitive base salary
  • Comprehensive benefits package
  • Hybrid working model
  • Upward mobility
Contact
Josh Delgado
Quote job ref
JN-112023-6241873

Job summary

Sector
Banking & Financial Services
Sub Sector
Compliance & Legal
Industry
Financial Services
Location
Manhattan
Contract Type
Permanent
Consultant name
Josh Delgado
Job Reference
JN-112023-6241873