Control room AVP

A leading financial firm is hiring a Control Room professional for their expanding team.

As a Control Room AVP, you help maintain effective information barriers and manage conflicts and non-public information risk.

Job responsibilities

• Maintain and monitor the firm's information barriers/barrier crossings/flow of non-public information
• Pre-clearing permitted communication between Investment Banking and Equity Research
• Interact with the Banking, Sales and Trading, and Asset Management teams to ensure the Firm’s Watch and Restricted lists are properly maintained
• Review Research publications to ensure compliance with legal and regulatory obligations
• Work proactively with other Control Room teams in the US and EMEA to create a cohesive global Control Room team operating model and apply consistent policies and procedures
• Participate in the conduct of internal and external enquiries and investigations as necessary
• Participate in policies and procedures updates, providing training to various businesses in specific areas of expertise

Required qualifications, capabilities, and skills

• 7+ years of experience in Compliance, Risk, or related controls function
• Strong attention to detail with solid administrative skills and an analytical approach to problem solving
• Ability to meet tight deadlines and to make quick and reasoned decisions under pressure
• Strong interpersonal skills with a highly motivated and organised approach to work
• Ability to work effectively as a team player and operate under own initiative
• Awareness of regulatory and internal control requirements, particularly in relation to effective information barrier arrangements