Control Room Associate 





  • Maintain and oversee firm’s information barriers and the firm’s watch and restricted list
  • Making determinations on the imposition of restrictions on the firm s Research and Trading activities. Interfacing with the first, second and third lines as applicable. Interact with the Investment Banking and Capital Markets groups in order to maintain the watch list and restricted list
  • Determine and impose restrictions on sales, trading and research activities, as applicable
  • Perform local Conflicts of Interest (COI) checks
  • Facilitate and maintain wall crossings
  • Identify, manage and resolve potential issues regarding watch and restricted List trade surveillance
  • Liaise with overseas Compliance to ensure global consistency where necessary and/or desirable


  • Associate: 2-3 years of professional experience in Corporate Compliance, Regulatory (FINRA or SEC), or Operational Risk Management functions
  • Knowledge of the Securities Act of 1933, Securities Exchange Act of 1934 and related SEC rules and regulations
  • Relevant experience working in a Control Room at a broker dealer
  • Knowledge of FINRA rules and regulations applicable to the sell-side business
  • Understanding of financial products and investment banking transactions
  • Bachelor’s degree required. JD degree or regulatory experience would be a plus
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