Senior Compliance Leader - Control Room
Key Responsibilities
- Lead an internal control room framework governing access to sensitive information, internal boundaries, and activity limitations across business lines.
- Act as the primary contact for matters involving potential exposure to non‑public information, including internal escalations and risk assessments.
- Review, approve, and document temporary access to confidential matters, ensuring appropriate acknowledgements and controls are applied.
- Manage a security‑level restriction process that limits trading or activity when information risk is identified, including ongoing monitoring and release decisions.
- Assess transaction activity against applicable restrictions and escalate unusual or potentially non‑compliant behavior for further review.
- Maintain robust documentation and decision records to support internal governance and regulatory examinations.
- Support or lead inquiries into suspected breaches of information controls or improper activity, working with legal counsel and people teams as appropriate.
- Develop targeted training for teams with increased exposure to confidential information, emphasizing practical risk management and ethical decision‑making.
- Monitor regulatory expectations and enforcement trends related to insider risk, market conduct, and information controls to continuously enhance the program.
Experience & Profile
- Substantial experience (10+ years) in compliance, legal, or regulatory roles within financial services, with direct exposure to control room operations or equivalent information‑barrier oversight.
- Strong working knowledge of U.S. securities regulations related to insider activity, market abuse, and conflicts of interest.
- Practical experience overseeing trading limitations, security restrictions, or surveillance‑adjacent controls.
- Proven ability to handle sensitive, time‑critical issues involving senior stakeholders with sound judgement.
- Clear, confident communicator capable of translating complex regulatory risk into actionable guidance.
- Highly organized, discreet, and trusted to manage confidential matters.
- Collaborative and pragmatic, with the ability to operate effectively across business, legal, and compliance teams.
- Comfortable in fast‑moving environments that require adaptability and continuous improvement.
- Legal training or an advanced degree is a plus.
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