Apply for the VP – Head Of Compliance Control Room position

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Large broker dealer located in Midtown Manhattan looking to add a “Vice President, Head Of Compliance Control Room” to their team. This position is in a hybrid schedule and would require 4-7 days per month.

Responsibilities:

•Analyze data, derive insights and risk indicators with the help of business intelligence tools
•Assist in implementing information barrier policies and procedures by maintaining the watch and restricted lists, deal lists and handling conflicts clearance
•Monitor employee personal trading and electronic communications and perform periodic compliance testing/surveillance
•Monitor employee gift & entertainment, political contributions, and outside business activities
•Communicate with Sales, Trading, Research, Investment Banking personnel regarding specific firm transactions and compliance related issues
•Participate in the drafting of compliance related policies and procedures, making recommendations to develop or enhance business unit procedures as they relate to Compliance Control Room (CCR)
•Act as the gatekeeper and chaperone with respect to permitted conversations between the restricted groups of employees and potential compliance issues arising out of monitored interactions
•Respond to compliance related questions from management and staff
•Assist in keeping the CCR current on relevant regulatory changes
•Develop and implement compliance related monitoring and compliance metrics relevant to CCR functions; perform and/or oversee information for compliance reporting to management
•Develop, coordinate and deliver initial and ongoing training for employees on compliance requirements of designated laws, regulations, and policies