Description:
Collaborate with the CCO and Deputy of Business Line Compliance, legal, and business management to develop and execute a Control Room function.
This function will be responsible for maintaining information barriers between public and private side employees as well as between deal teams.
Act in an advisory capacity to all client facing business lines with regard to information barriers, supporting real time inquiries, deal opportunities, MNPI and CI scenarios, etc.
Provide Firm Compliance policy guidance and coordinate with Core business line to create/provide policy and ongoing education to the business with respect to Information Barriers and Conflicts of Interest.
Conduct reviews of private side, deal/advisory related, and new issue transactions for potential conflicts of interest and maintain the Conflicts monitoring system.
Liaise where necessary with the business, Compliance teammates and Legal
Requirements:
Own and manage the control room vendor software and deal management/conflicts platform, acting as the internal expert for the workflow and system.
Coordinate with Core Compliance as necessary to review BL related conflicts.
Assist with any regulatory inquiries and investigations, as necessary.
Remain aware and aligned with regulations, industry standards, and best practices in regards to control room functions on a go forward basis.
Monitor & track supervisory oversight and help Deputy BLC build and amend as necessary all relevant BL checklists, responsibilities, and reviews.
8+ yrs.
or relevant experience
Excellent communication (verbal and written)
Possess strong analytical aptitude and problem-solving skills
Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
Detail-oriented with ability to multitask, organize and prioritize
Ability to work as a member of a team in a high-pressure, fast-paced environment, and deliver timely responses/results
Proactive and willing to take on issues/responsibilities that require focus and determination
Experience/comfort interfacing with client facing business lines (including senior/supervisory personnel) and collaborating with other support departments
Series SIE, 7 & 24 and/or 79 Required
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