Control Room Compliance

New York, New York Permanent USD100,001 - USD150,000 per year Hybrid working
  • Client will move quickly qualified candidates
  • Hybrid work model

About Our Client

One of the largest and most established foreign banking institutions in NYC.

Job Description

  • Offer guidance on Firm Compliance policies concerning Information Barriers and Investment Banking Conflicts of Interest.
  • Conduct training sessions on the Firm's policies and procedures regarding Information Barriers.
  • Monitor securities laws and regulations relevant to Information Barriers and Investment Banking Conflicts of Interest.
  • Maintain and update the firm's Watch and Restricted Lists.
  • Coordinate and document Wall Crossings.
  • Review and approve the firm's research publications for compliance with research rules and potential conflicts of interest.
  • Assess Investment Banking transactions for potential conflicts of interest and manage the Conflicts monitoring system.
  • Support Investment Banking Compliance Coverage in executing the Compliance program, including risk assessments and reporting.
  • Facilitate interactions between Investment Banking and Research teams.
  • Monitor firm positions and file regulatory disclosures as required by the Securities Act.
  • Assist in developing the Control Room Compliance program, including policy and technology enhancements.
  • Collaborate with the Surveillance team on potential issues related to Watch and Restricted List trading activities.
  • Work closely with other Compliance teams, including Bank Regulatory, Regulatory Change and Policy, Licensing and Registration, Personal Account Dealing, and Surveillance.
  • Coordinate with Europe and Asia Control Rooms to ensure global consistency where necessary.
  • Assist in conducting internal and regulatory inquiries and investigations.
  • Manage Compliance issue management, escalation, and reporting.

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

  • A Bachelor's degree is required (JD preferred, securities licenses advantageous).
  • A minimum of 3-5 years of pertinent experience in financial industry compliance for Control Room, including Research.
  • Profound comprehension of securities regulation, specifically information barrier/conflicts clearance practices and research rules.
  • Capability to analyze intricate situations and offer timely guidance, swiftly resolving issues.
  • Ability to handle multiple tasks in a fast-paced setting.
  • Exceptional organizational, verbal, and written communication abilities.
  • Meticulous attention to detail.
  • Strong interpersonal skills essential for effective teamwork.
  • Demonstrated commitment to professionalism and a strong work ethic.
  • Flexibility and adaptability in evolving environments.

What's on Offer

My client is offering a competitive compensation package, salary + bonus. My client is offering a hybrid work schedule as well. Must be authorized to work in the United States.

Thomas Falus
Quote job ref

Job summary

Banking & Financial Services
Sub Sector
Compliance & Legal
Financial Services
New York
Contract Type
Consultant name
Thomas Falus
Job Reference
Job Nature
Hybrid working