Control Group Manager - Compliance, Vice President
Core
Managing information barriers, conflict of interest, and regulatory compliance for Research and Investment Banking activities within the EMEA Control Group.
Role type
Senior IC compliance manager (VP level)
Builds
Internal compliance controls, surveillance programs, and policy frameworks
Domain
Financial services, regulatory compliance, investment banking
Required skills
Information barriers management, conflict of interest monitoring, regulatory interpretation, surveillance program oversight, policy development, audit participation
Preferred skills
UK and US securities law expertise, insider dealing experience, system and IT project participation
Technologies
Compliance surveillance systems, IT development tools
Responsibilities
Maintain Watch and Restricted Lists, chaperone communications between Research and Private Side, review research reports for compliance, manage employee trade pre-clearances, update compliance policies and procedures, participate in audits and training
Seniority
Vice President, senior leadership with hands-on operational oversight