Control Group Manager - Compliance, Associate / Director (AVP equivalent)
Core
Manage 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 (control group)
Builds
Internal compliance controls, surveillance programs, and policy frameworks
Domain
Financial services / Investment Banking / Regulatory Compliance
Required skills
Information Barriers, Insider Dealing, Market Abuse, US Securities Act, UK Financial Services Act, Research Settlement, LTOP, MAR, Watch List management, Restricted List management, Employee trade pre-clearance, Regulatory interpretation, Policy development, Audit participation, Training delivery
Preferred skills
Experience in Investment Banking, Sales & Trading, Capital Markets, Business unit liaison, Team supervision, Process improvement
Technologies
None stated
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 system development, audits, and policy updates; Conduct supervisory reviews of sensitive research; Deliver training to business units.
Seniority
Mid-Senior, hands-on IC with team supervision