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Control Room – Compliance Officer

  • Midtown Manhattan
  • Full Time

Apply for the Control Room – Compliance Officer position

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Broker dealer located in Midtown Manhattan looking to bring on board an “Control Room – Compliance Officer” to join their team. This role is currently in a hybrid capacity (3 days per week).


• Provide Firm Compliance policy guidance with respect to Information Barriers and Investment Banking Conflicts of Interest.
• Conduct training on the Firm’s policies and procedures relating to Information Barriers.
• Monitor securities law and related rules and regulation in this area.
• Maintain and update the firm’s Watch and Restricted Lists.
• Coordinate and record Wall Crossings.
• Conduct day-to-day review and clearance of the firm’s research publications in compliance with research compliance rules (e.g., Rules 138/139) and to identify potential conflicts of interest.
• Liaise where necessary with the business, Supervisory Analysts, Compliance and Legal.
• Conduct review of Investment Banking transactions for potential conflicts of interest and maintain the Conflicts monitoring system. Liaise where necessary with the business, Compliance and Legal.
• Support Investment Banking Compliance Coverage in executing the Investment Banking Compliance program, including compliance risk assessments and reporting.
• Chaperone interactions between the Investment Banking and the Research.
• Conduct firm position monitoring and respective regulatory filings pursuant to Section 13D, 13G and 16 of the Securities Act.
• Perform quarterly Section 13F filings
• Assist in the development of the Control Rom Compliance program including, policy and technology developments.