An elite boutique Investment Bank in New York City is hiring an Associate / AVP Control Room Compliance professional.
JOB TITLE - Assistant Vice President/Associate, Employee Compliance, Control Room & IT Compliance
Responsibilities:
Employee Compliance
- Monitor and evaluate employee compliance with the Firm's policies and procedures, including those related to personal trading, account disclosure, and outside activities
- Review and respond to employee personal trade and brokerage account requests
- Conduct investigations into potential compliance violations, document findings and recommend corrective actions as necessary
Control Room
- Maintain, update, and monitor the Firm's Watch List and Information Barriers
- Provide guidance to employees and enforce policies and procedures related to Watch List management and the timely reporting of material non-public information
- Conduct periodic reviews and assessments to ensure the effectiveness of information barriers and internal control processes
- Investigate potential breaches related to Information Barrier and Watch List reporting, documenting findings and recommending corrective actions as necessary
Information Technology Compliance
- Collaborate with the Firm's IT team to leverage existing and new technologies to support the Firm's supervisory and surveillance programs
- Conduct compliance assessments around Firm wide technology initiatives and provide guidance on compliance and regulatory implications
- Manage IT access requests to ensure compliance with Firm policies and applicable regulatory requirements
- Monitor and analyze data access and usage to ensure compliance with Firm policies
- Contribute to procedures to regularly review compliance with the Firm's electronic access and permissions policies and procedures
Skills & Qualifications:
- Bachelor's Degree
- 3-5 years' experience in a compliance role within the financial services industry
- Familiarity with Control Room operations, Watch/Restricted List management, employee compliance and personal trading, and IT compliance
- Strong technical skills including Microsoft Suite (Excel, PPT, Word, etc.)
- Ability to merge multiple datasets, synthesize and prepare summarized reports in Excel and PowerPoint
- Experience with Varonis or similar tools for data access and usage monitoring, permissions management, and data security is highly desirable
- General knowledge of file sharing tools and APIs used in the financial services industry
- Detail-oriented with excellent organizational and documentation skills
- Strong communication skills and comfortable communicating with a wide range of employees of all levels across the Firm
