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VP, Control Room

  • NYC
  • Full Time

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Asset management firm based in NYC, looking to bring on board a “VP, Control Room” to join their team in Midtown Manhattan. They are currently in office 4 days a week.

Responsibilities:
• Working directly with the Business and Compliance to maintain the GI Restricted List and the GI Watch List and provide guidance regarding material non-public information (MNPI) determinations and restriction status.
• Interacting with Traders and Portfolio Managers in connection with pre-trade exception approval for issuers on the GI Restricted List consistent with applicable legal, regulatory, and policy considerations.
• Facilitating affiliate and external wall crossings, which includes identifying relevant parties and their tradable instruments, evaluating whether the Business can receive MNPI, consulting with Portfolio Managers and the Legal Department, and escalating to senior Compliance, Risk, and Investment Management where applicable.
• Performing post-trade surveillance of trades against the GI Restricted List and the investigation of any trades requiring follow-up.
• Performing daily surveillance of access to third-party sites to determine whether GI is private in an issuer’s data room.
• Monitoring a shared mailbox to timely respond to GI Restricted List inquiries, trade requests, wall crossing requests, and other tasks requiring action.
• Drafting, reviewing, and updating Compliance procedures.