Control Group Manager - Compliance, Associate / Director (AVP equivalent)
Core
Manage Information Barriers, conflict of interest policies, and surveillance for Research and Investment Banking activities within a global financial firm.
Role type
Associate/Director level Compliance Control Group Manager
Builds
Internal compliance controls, surveillance programs, and policy frameworks for Research and Investment Banking
Domain
Financial Services / Regulatory Compliance
Required skills
Information Barriers management, Insider Dealing & Market Abuse knowledge, US/UK securities law expertise, Research Settlement compliance, Watch List maintenance, Employee trade pre-clearance, Regulatory interpretation, Policy development, Audit participation, Stakeholder liaison
Preferred skills
Experience in Investment Banking or Research, Knowledge of Takeover Code and LTOP/MAR regulations, IT system development for compliance, Training delivery
Technologies
Compliance surveillance systems, IT development tools for compliance programs
Responsibilities
Maintain Watch and Restricted Lists, Review Fixed Income and Equity Research for compliance, Chaperone communications between Research and Private Side, Process employee trade pre-clearances, Provide advice on regulatory requirements and internal policies, Participate in audits and Annual Compliance Reviews, Develop new compliance controls and procedures
Seniority
Associate/Director, hands-on IC with team supervision