Director Control Room Compliance
Overview
An organization is seeking an experienced compliance professional to lead its Compliance Control Room within the broader Capital Markets Compliance function. The role is responsible for overseeing daily Control Room operations and managing the firm's information‑barrier framework. Core responsibilities include monitoring and handling material non‑public information (MNPI), assessing and mitigating conflicts of interest, and ensuring regulatory compliance across business areas such as investment banking, research, and sales & trading.
The ideal candidate demonstrates strong analytical capabilities, excellent communication skills, and a proactive, accountable approach to work. This position reports to senior compliance leadership and operates on a hybrid schedule.
Essential Responsibilities
- Oversee the firm's information‑barrier framework and related governance
- Maintain the organization's watch (grey) and restricted lists
- Review, approve, and track wall‑crossing requests
- Conduct conflict‑of‑interest analysis for investment‑banking and capital‑markets activities
- Manage the flow of MNPI between business units
- Provide guidance on restrictions related to transactions or MNPI exposure
- Monitor and chaperone communications between Research, Sales & Trading, and Investment Banking
- Review and approve research publications when list‑related considerations apply
- Advise research personnel on required disclosures related to transactions or covered companies
- Monitor employee and firm trading activity tied to watch/restricted lists
- Update and maintain policies and procedures governing Control Room and information‑barrier operations
- Oversee compliance attestations related to Control Room functions
- Deliver periodic firm‑wide Control Room training
- Collaborate with compliance partners and business stakeholders to ensure adherence to internal policies and regulatory obligations
Required Qualifications
- Minimum of ten years of experience in a compliance, regulatory, or related function
- Direct experience with Control Room operations in a capital‑markets environment
- Strong knowledge of regulatory standards governing information‑barrier programs
Preferred Qualifications
- Legal training and/or regulatory agency experience
- Broader familiarity with broker‑dealer regulatory requirements
Skills & Competencies
- Excellent written and verbal communication abilities
- Strong presentation skills
- Exceptional judgment, analytical skills, and attention to detail
- Ability to operate in a fast‑paced, high‑pressure environment
- High level of motivation and commitment to excellence
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