Control Room Associate
Core
Manage BBVA CIB US Control Room and Registration programs to identify, assess, and mitigate regulatory risks related to insider trading, MNPI, information barriers, and employee personal trading.
Role type
Senior IC compliance operations specialist (Control Room & Registration)
Builds
Effective compliance framework for regulatory risk mitigation and licensing adherence
Domain
US Financial Services / Capital Markets / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | client delivery | infrastructure | physical/clinical work
Required skills
US securities regulations knowledge, Control Room program management, Information Barriers administration, employee trading surveillance, regulatory registration management, policy development, audit support, project management
Preferred skills
FINRA SIE, Series 7, Series 24 licenses, bilingual English/Spanish
Technologies
MCO, Microsoft Excel, Google Workspace
Responsibilities
Manage implementation and execution of Control Room program; maintain Information Barriers framework including Watch/Restricted Lists and wall-crossings; conduct surveillance of employee personal trading and investigate violations; manage US Registration Program for FINRA/SEC/NFA; develop and maintain compliance policies and procedures; support regulatory examinations and internal audits; prepare management reporting and compliance metrics.
Seniority
Senior, hands-on IC