Compliance Control Room Officer: AVP - VP # 085120

Job description

· Member of the Control Room team providing compliance coverage to Research and Investment Banking.
· Maintaining the firm's Watch and Restricted Lists, including making determinations with respect to imposing restrictions on the firm's Research and/or Trading activities.
· Manage wall crossings through the Firm's wall crossing procedures.
· Review cross-divisional conflicts submissions and query Control Room systems, working together with other stakeholders including Investment Banking & Capital Markets and Legal; Advise on Compliance issues, coordinate escalations; produces metrics for various stakeholders
· Provide advice on Information barriers.
· Review both Equity and Fixed Income Research for potential issues with applicable laws and firm policies regarding the publication and dissemination of Research in issuers on the Watch and Restricted Lists.
· Support the Outside Business Interests and PA trading functions.
· Ensuring compliance with research guidelines and firm policy for pre-deal research relating to IPOs and coordinating review process.
· Work closely with advisory compliance to provide accurate and consistent advice to the business.
· Assist in the delivery of Control Room team objectives, projects and initiatives.

Desired profile

·  Minimum of 3 years compliance experience
·  Control Room / Conflicts experience preferred.
·  Degree level education preferred.
·  Articulate both orally and in writing.
·  Attention to detail and well organised.
·  Proactive and deadline orientated.
·  Exercises good judgment.

*LI-AM2*