Control Group Manager - Compliance, Vice President
Core
Vice President leading the Control Group to monitor Information Barriers, manage conflicts of interest, and oversee compliance for Research and Investment Banking activities.
Role type
Senior IC Compliance Manager (Control Group)
Builds
Information Barriers, Watch/Restricted Lists, and pre-clearance processes for Research and Investment Banking
Domain
Financial Services / Regulatory Compliance
Required skills
Information Barriers management, Conflict of Interest monitoring, Regulatory interpretation (US/UK), Watch List maintenance, Trade pre-clearance oversight, Policy development, Audit participation, Team supervision
Preferred skills
Experience with Market Abuse rules, Insider Dealing regulations, Global Research Settlement policies, IT system development for compliance
Technologies
Compliance surveillance systems, IT development tools for control groups
Responsibilities
Monitor status of Investment Banking projects and maintain Watch/Restricted Lists; Review Fixed Income and Equity Research for compliance; Chaperone communications between Research and Private Side; Provide advice on regulatory requirements and internal policies; Participate in regional/global system development and audits; Update procedures and develop new controls; Provide supervisory review for sensitive research; Liaise with business risk management teams
Seniority
Vice President, hands-on leadership with team supervision