Job Description

Director-Head of Control Room

We are seeking an experienced professional to lead our Compliance Control Room team within our Capital Markets Compliance Department. The successful candidate will be responsible for overseeing the control room’s daily operations and managing the Firm’s information barrier framework. This role requires effective monitoring and handling of material non-public information (MNPI), conflicts of interest and regulatory compliance associated with activities related to all departments (investment banking, research and sales & trading). This position requires strong analytical and communication skills and the desire to take initiative and assume responsibility. This position reports to the Head of Capital Markets Compliance and works on a hybrid schedule (WFH Mondays & Fridays).

About the Role

The successful candidate will be responsible for overseeing the control room’s daily operations and managing the Firm’s information barrier framework.

Responsibilities

• Oversee the Firm’s information barrier program
• Maintenance of the Firm’s Watch (Grey) and Restricted lists
• Review and approve all wall-crossing requests and maintain recordkeeping
• Conduct in-depth analysis and research to determine potential conflicts related to investment banking transactions
• Manage the flow of MNPI between the relevant departments (investment banking, research and sales & trading)
• Advise on any restrictions related to deal transactions or MNPI
• Chaperone calls and activity between Research, Sales & Trading and Investment Banking
• Review and Approve Research publications related to the Grey and Restricted lists
• Advise the Research Services team, of any disclosure requirements related to investment banking transactions and Research covered companies
• Monitor employee and firm trading activities related to grey and restricted list
• Update and maintain policies and procedures governing the control room and information barrier operations
• Maintain attestations related to the Control Room within MyComplianceOffice (MCO)
• Conduct periodic training related to the Control Room to all employees
• Partner and coordinate with Compliance team members and business partners to ensure compliance with the Firm’s policy and procedures

Qualifications

• Ten years of experience in a regulatory or compliance setting
• Knowledge and prior experience working with Control Room functions within an investment banking broker dealer
• Strong understanding and knowledge of regulatory rules associated with information barrier standards

Required Skills

• Superior oral and written communication skills
• Presentation skills
• Exceptional judgement, analytical skills and attention to details
• Ability to operate effectively in a fast paced and high-pressure environment
• A desire to excel

Preferred Skills

• Legal training and/or direct regulatory experience
• Experience with general regulatory compliance requirements for a broker dealer

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