Control Room - Compliance Officer - Compliance

Position: Control Room - Compliance Officer - Compliance   United States
Responsibilities
The AMER Control Room is a crossline of the business Compliance function that is primarily responsible for providing advice and guidance with respect to policies and procedures reasonably designed to prevent the misuse of Material Non-Public Information (generally known as "MNPI"), and Global Banking and Advisory conflicts of interest.

Responsibilities include, but are not limited to:

• Provide Firm compliance guidance on issues with respect to information barriers, investment research and investment banking conflicts of interest typical of a global investment bank.
• Conduct training on the Firm's policies and procedures relating to information barriers. Monitor securities law and related rules and regulation in this area.
• Conduct day-to-day review and clearance of Firm and affiliate research publications, ensuring compliance with applicable research regulations (e.g., FINRA Rules 2241 and 2242, SEC Rules 137, 138, 139, and Regulation M) and proactively identifying and addressing potential conflicts of interest. Coordinate as necessary with management, Supervisory Analysts, Compliance, and Legal teams.
• Conduct review of Investment Banking transactions for potential conflicts of interest and maintain the Conflicts monitoring system. Liaise where necessary with the business, Compliance and Legal.
• Maintain and update the Firm's Watch and Restricted Lists.
• Coordinate and record Wall Crossings.
• Conduct firm position monitoring and respective regulatory filings pursuant to Section 13D, 13G and 16 of the Securities Act.
• Liaise with the Surveillance team regarding potential issues with respect to Watch and Restricted List trading activities.
• Effectively partner Investment Banking Compliance Coverage in executing the Investment Banking Compliance program, including compliance risk assessments and reporting.
• Chaperone interactions between the Investment Banking and the Research.
• Assist in the development of the Control Rom Compliance program including, policy and technology developments.
• Effectively partner, and work closely with other Compliance teams, including Bank Regulatory;
  Regulatory Change and Policy;
  Licensing and Registration;
  Personal Account Dealing, including Outside Business Activities and Personal Investments; and Surveillance.
• Liaise with Europe and Asia Control Rooms to ensure global consistency where necessary and/or desirable.
• Assist in the conduct of internal and regulatory inquiries and investigations, as necessary.
• Coordinate Compliance issue management, escalation, and reporting.

Profile required

Competencies:

• Solid understanding of U.S. securities laws, rules and regulations regarding capital markets (including Regulation M), as well as Self-Regulatory Organization rules including research (e.g., FINRA Rules 2241 and 2242), communication with the public, supervision and information barrier / conflicts, as well as knowledge of industry best practices.
• Experience in providing compliance guidance related to research review within the framework of capital market transactions is essential (including SEC Rules 137, 138 and 139).
• Ability to engage effectively with business management, and senior research analyst and investment bankers, while coordinating within a team environment.
• Ability to analyze complex situations in time sensitive situations and propose to resolve issues quickly and effectively.
• Ability to multi-task in a fast-paced environment.
• Excellent organizational, oral, and written communication skills.
• Attention to detail.
• Strong interpersonal skills. Must be team player.
• Strong work ethic and professionalism.
• Desire to learn.
• Adaptability and flexibility in a changing environment.

Qualifications (Experience, Education, Languages)

• Bachelor's degree (JD desirable, securities licenses a plus.
• At least 3-5 years relevant financial industry experience related to control room activities, with experience in compliance for research and capital markets activities, preferably equity-related.

Why join us Business insight
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