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Senior Control Room Analyst
at The Compliance Search Group in New York, NY
Senior Control Room Analyst-New York
Top tier International Bank has need for Senior Control Room Analyst
Assist the Equity and Fixed Income Research, Investment Banking, Private Equity and Capital Markets departments in dealing with compliance related issues and preserving the Information Barriers.
• Maintain the Watch and Restricted Lists (i.e., obtaining updates from Investment Banking and Capital Markets personnel).
• Review Equity and Fixed Income Research reports for potential conflicts with the Watch and Restricted Lists.
• Review Equity Research for compliance with quiet periods (e.g., IPO, Secondary and Lock-Up expirations).
• Develop and present Annual Compliance training for Equity Research, Fixed Income Research and Investment Banking department.
• Chaperone interactions between Investment Banking/Capital Markets and Equity Research personnel for compliance with various research-related regulatory rules including the Global Research Settlement.
• BA/BS with a minimum of 3+ years relevant experience, or equivalent in a fast paced, dynamic culture with control room or research compliance experience.
• Ability to handle confidential information and matters with discretion.
• Flexibility and experience to manage multiple, high priority tasks and adjust to shifting priorities, while meeting deadlines.
• Extremely detailed oriented, with strong follow-up.
• Ability to work independently and interact with all levels of management in a professional and positive manner
• Strong interpersonal, communication and presentation skills.
• Strong analytical and process management skills.
Proficiency in Microsoft Office products (Word, Excel, Outlook & PowerPoint) and the ability to quickly learn other computer applications).
Please forward resume in confidence to Michael Lane at mlane@compliancesearch.com
Top tier International Bank has need for Senior Control Room Analyst
Assist the Equity and Fixed Income Research, Investment Banking, Private Equity and Capital Markets departments in dealing with compliance related issues and preserving the Information Barriers.
• Maintain the Watch and Restricted Lists (i.e., obtaining updates from Investment Banking and Capital Markets personnel).
• Review Equity and Fixed Income Research reports for potential conflicts with the Watch and Restricted Lists.
• Review Equity Research for compliance with quiet periods (e.g., IPO, Secondary and Lock-Up expirations).
• Develop and present Annual Compliance training for Equity Research, Fixed Income Research and Investment Banking department.
• Chaperone interactions between Investment Banking/Capital Markets and Equity Research personnel for compliance with various research-related regulatory rules including the Global Research Settlement.
• BA/BS with a minimum of 3+ years relevant experience, or equivalent in a fast paced, dynamic culture with control room or research compliance experience.
• Ability to handle confidential information and matters with discretion.
• Flexibility and experience to manage multiple, high priority tasks and adjust to shifting priorities, while meeting deadlines.
• Extremely detailed oriented, with strong follow-up.
• Ability to work independently and interact with all levels of management in a professional and positive manner
• Strong interpersonal, communication and presentation skills.
• Strong analytical and process management skills.
Proficiency in Microsoft Office products (Word, Excel, Outlook & PowerPoint) and the ability to quickly learn other computer applications).
Please forward resume in confidence to Michael Lane at mlane@compliancesearch.com
Published at 05-03-2010
Viewed: 30 times
Viewed: 30 times