Control Room Equity Research Compliance

Full Time

International Banking Client

Office Status: Hybrid

Responsibilities:

  • Serve as the Compliance Subject Matter Expert on Information Barriers
  • Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.
  • Assist on the maintenance of the Firm’s Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams
  • Assist the business with research vettings from Investment Banking, the related wall crossings and chaperoning meetings between Investment Banking and Equity Research.
  • Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies
  • Advise Equity Research regarding use of experts and expert networks
  • Review and approve equity research as needed
  • Review of electronic communications
  • Respond to Internal Audit and regulatory inquiries
  • Execute projects as assigned by supervisor and/or Compliance senior management.
  • Participate in the drafting of compliance related policies and procedures. Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matters; and respond to compliance related questions from management and staff.
  • Conduct trainings of the equity research staff during onboarding, add-hoc and annual compliance training
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