Control Room Manager Control Room Manager …

The Compliance Search Group, LLC
in Boston, MA, United States
Permanent, Full time
Be the first to apply
100k + Bonus
The Compliance Search Group, LLC
in Boston, MA, United States
Permanent, Full time
Be the first to apply
100k + Bonus
The investment banking division of a banking and financial services firm seeks a Control Room Manager.

The investment banking division of a banking and financial services firm seeks a Control Room Manager. This individual will act as the primary contact and Control Room Manager for an institutional brokerage and investment banking firm.

The candidate will lead the efforts to administer and enhance the surveillance and regulatory control room compliance initiatives within the broker/dealer, while taking a strong role in the implementation and restructuring of an enterprise-wide control room with their bank holding company parent.

Primary Duties and Responsibilities:

  • Develop policies and systems for firm wide administration of control room and conflict issues
  • Identification, escalation and management of conflicts of interests across business units
  • Implementation, communication and maintenance of firm watch lists and restricted lists
  • Review and clearance of research reports containing watch or restricted list securities
  • Advise business groups on all information barrier issues which include, but are not limited to, new business products & initiatives, business unit interactions and technology access
  • Review and process trading and private investment requests
  • Coordinate with outside law firms, deal professionals, and other members of legal and compliance to identify and mitigate potential conflicts, implement, monitor, and dismantle temporary information barriers
  • Assist in the enhancement of an effective, robust and efficient compliance program though risk management, monitoring and surveillance of firm activities
  • Assist with technological upgrades to meet increasing regulatory demands
  • Maintain current Firm written supervisory procedures and enhance as applicable
  • Respond to real-time inquiries from investment banking, research analysts, technology personnel and management
  • Act as a resource for education and training

Experience and Qualifications Required:

  • BA or BS degree required
  • Series 7 required
  • Strong verbal and written communication skills communications, and ability to:
    • Effectively and proactively communicate with persons of any professional level
    • Understand, synthesize and communicate urgent information
  • Ability and experience in identifying regulatory issues and management reporting
  • Ability to multi-task and prioritize
  • Ability to take initiative and assume responsibility
  • Strong work ethic and commitment to Firm and Department
  • Minimum ten years compliance experience or equivalent; seven years in control room

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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