Compliance, Control Room, Analyst

Compliance, Control Room, Analyst, Birmingham

Birmingham, West Midlands, England, United Kingdom

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations;

designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries.

You’ll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in Birmingham. The Control Room is primarily responsible for preserving the integrity of the Firm's information barriers by monitoring and controlling the flow of confidential information between the Firm's private/advisory side businesses and public side businesses. Additionally, the Control Room is tasked with staying close to banking transactions to ensure that all legal and policy restrictions are activated in a timely manner, as well as advising firm divisions dealing with trading and research as to the applicability of those restrictions.

• Interacting with the Investment Banking and Capital Markets and Asset Management Divisions in order to maintain the Firm's Confidential Lists
• Reviewing research published by the Global Investment Research Division to ensure compliance with certain legal and regulatory obligations
• Liaising with Legal and other areas of Compliance to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations
• Applying the Research Settlement rules to facilitate communications between Equity Research and Investment Banking personnel
• Working with the Conflicts & Business Selection Group to facilitate approval for certain Firm and client transactions and subsequent risk management activities

• Recent college or law school graduate with up to 2+ years of compliance or legal‑related experience in financial services preferred
• Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
• Excellent verbal and written communication skills
• Proactive and willing to take on issues/responsibilities that require focus and determination
• Ability to work as a member of a team in a high‑pressure, fast‑paced environment
• Detail‑oriented with ability to multitask, organize and prioritize

• Birmingham, West Midlands, England, United Kingdom

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Founded in 1869, we are a leading global investment banking, securities and investment management firm. Headquartered in New York, we maintain offices around the world.

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