Apply for the Director – Control Room position

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CAPTCHA

A $150 billion asset management firm, looking to bring on board a “Director – Control Room” to join their broker dealer in San Francisco. This firm is operating in a hybrid capacity (4 days in office). If you are interested or have any questions, please email at avuceljic@madisondavis.com.

Responsibilities:

• Maintenance of the Firm’s watch and restricted lists.

• Conduct conflict searches for relevant activity across all business units and affiliated entities.

• Review research reports, market commentary, public appearances and non-deal roadshow requests and handle watch and restricted list considerations.

• Process and manage ‘wall-crossing’ requests.

• Assist in preparing responses to FINRA underwriter questionnaires.

• Information barrier monitoring and watch and restricted list trade surveillance.

• Provide advice on and monitor interactions and communications between Research and Investment Banking, including chaperoning calls/meetings between Investment Banking and Research.

• Develop and maintain a strong relationship between Compliance and business unit professionals through effective communication.

• Rotational weekend coverage.