Overview
Control Room Compliance Manager Jobs in New York City, NY at The Peak Organization Inc
Control Room Compliance Manager
Our client, a boutique, global investment bank in New York City is seeking to add a Control Room Compliance Manager to their team.
Key Responsibilities:
Participate in all aspects of the day-to-day operation of the Control Room for the Americas region, including:
Ensuring the integrity of the firm’s Chinese Walls and Information Barriers.
Assisting in the oversight and maintenance of the Firm’s Watch and Restricted lists for the region, including review of research reports.
Facilitating Chinese wall crossings from initial request to the resumption of normal duties and maintenance and administration of associated systems.
Overseeing the policy and procedures for managing conflicts between research analysts and sales and trading personnel and investment banking activities.
Managing the conflicts clearance and escalation process.
Implementation, communication and maintenance of restrictions on trading and advice.
Producing and delivering training on key policies and procedures.
Supporting the position reporting process and undertaking regulatory filings as required.
Contributing to management reporting where necessary and advising on relevant U.S. Securities Law matters when required.
Skills and Attributes:
Have gained Control Room experience in an investment banking, legal or regulatory environment, preferably with experience in financial services compliance.
Possess a working knowledge of United States capital markets and financial services laws, regulatory environment and products.
Have an interest in having substantial involvement and partnership with the business.
Possess the ability to work independently, determine priorities and meet deadlines.
Have strong interpersonal skills, initiative and a good eye for detail.
Have strong written and verbal communication skills.
Have the ability to take a pragmatic, commercial approach to compliance whilst achieving desired outcomes.
Demonstrated team leadership capability, either direct or project related.
Strong organizational, communication and negotiation skills.
For immediate consideration, please submit your resume to Kyle Marszalek at **********@peakaudit.com.
Title: Control Room Compliance Manager
Company: The Peak Organization Inc
Location: New York City, NY
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