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Compliance Officer- Control Room

Larson Maddox Manhattan, United States
Posted 22 days ago Hybrid Job Permanent USD100000 - USD140000 per annum

A Trillion-dollar Financial Services firm is looking to add a Compliance Officer- Control Room to their team! In this role, you will carry out the Second Line of Defense monitoring and trade & communications surveillance across the bank's operations. This role sits hybrid in New York.

Responsibilities

  • Provide guidance on Firm Compliance policies related to Information Barriers and Investment Banking Conflicts of Interest.
  • Conduct training sessions on the Firm's Information Barriers policies and procedures, and monitor relevant securities laws and regulations.
  • Maintain and update the firm's Watch and Restricted Lists.
  • Coordinate and document Wall Crossings.
  • Review and approve the firm's research publications daily to ensure compliance with research compliance rules (e.g., Rules 138/139) and identify potential conflicts of interest.
  • Review Investment Banking transactions for potential conflicts of interest and manage the Conflicts monitoring system, including compliance risk assessments and reporting.
  • Chaperone Investment Banking interactions and Research.
  • Monitor firm positions and handle regulatory filings in accordance with Sections 13D, 13G, and 16 of the Securities Act, as well as perform quarterly Section 13F filings.
  • Assist in developing the Control Room Compliance program, including policy and technology advancements.

Qualifications

  • Bachelor's degree
  • 3+ years financial services experience in compliance for Control Room
  • Working knowledge of securities regulation such as barrier/conflicts clearance practices and research rules.
  • Watch and Restricted List experience
  • US securities, Banking, and Anti-Money Laundering and Sanctions regulation experience
job_description_image
Job ID  PR/497267
ABOUT COMPANY
New York, United States
Compliance / Legal
At Larson Maddox, we give essential guidance to leading firms by connecting them with the best In-House Counsel talent for their Regulatory & Legal ne...
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