TheStaffed
Control Group Compliance Officer
TheStaffed, Jersey City, New Jersey, United States, 07390
Our client, a top tier Management & Strategy Consulting firm if looking for a qualified Control Group Compliance Officer to join a Top-Tier Investment Bank.
Essential Requirements and Responsibilities
:
Assist and advise on IB and Capital Markets transactions, including conflicts review.Maintenance of the Firm's Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams.Review Equity Research and FI Strategy notes prior to public dissemination.Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies.Chaperoning communications between IB and Research.3-6+ years relevant Legal or Compliance experience, preferably working in a Control Room, Investment Banking Compliance, or Research Compliance.Ability to interpret and apply SEC, FINRA and other regulatory rules Comfortable and able to react in a fast-paced environment, managing a wide variety of requests.Ability to work positively and make decisions under time pressure
Essential Requirements and Responsibilities
:
Assist and advise on IB and Capital Markets transactions, including conflicts review.Maintenance of the Firm's Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams.Review Equity Research and FI Strategy notes prior to public dissemination.Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies.Chaperoning communications between IB and Research.3-6+ years relevant Legal or Compliance experience, preferably working in a Control Room, Investment Banking Compliance, or Research Compliance.Ability to interpret and apply SEC, FINRA and other regulatory rules Comfortable and able to react in a fast-paced environment, managing a wide variety of requests.Ability to work positively and make decisions under time pressure