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Director, Compliance Control Room

  • Midtown Manhattan
  • Full Time

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International investment bank located in Midtown Manhattan looking to bring on board a “Director, Compliance Control Room” to join their team. This role is currently in a hybrid capacity (2-3 days per week).

• 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
• Serve as subject matter expert to advise research, sales and trading on various restrictions
• Assist the business with research vetting’s 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
• Review and approve equity research as needed
• 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.