Director Control Room Compliance
Director - Control Room Compliance (Capital Markets)
Our client, a global investment bank with a strong presence across major financial centers, is seeking an experienced compliance professional to lead its Control Room team within the Capital Markets Compliance function. This leadership role is pivotal in managing the firm's information barrier framework and ensuring regulatory compliance across investment banking, research, and sales & trading activities.
Location: New York City
Base Salary: $160,000-$175,000
Schedule: Hybrid
Key Responsibilities
Oversee the firm's information barrier program and ensure its effective operation
Maintain and manage the firm's Watch (Grey) and Restricted lists
Review and approve wall-crossing requests; maintain detailed records
Conduct conflict checks and analysis for investment banking transactions
Monitor and control the flow of material non-public information (MNPI) across departments
Advise on restrictions and disclosures related to deal activity and MNPI
Chaperone interdepartmental communications involving Research, Sales & Trading, and Investment Banking
Review and approve research publications impacted by compliance restrictions
Monitor trading activity related to restricted securities
Maintain and update control room policies and procedures
Manage attestations and certifications within compliance platforms
Deliver periodic training to employees on control room protocols
Collaborate with compliance and business partners to uphold firm-wide standards
Qualifications
Required:
Minimum 10 years of experience in a regulatory or compliance role
Deep understanding of control room operations within an investment banking broker-dealer
Strong knowledge of regulatory rules governing information barriers
Preferred:
Legal training or direct experience with regulatory bodies
Familiarity with broader broker-dealer compliance requirements
Skills & Attributes
Exceptional communication and presentation skills
Strong analytical judgment and attention to detail
Ability to thrive in a fast-paced, high-pressure environment
Proactive mindset with a drive for excellence
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