This job ad has been posted over 40 days ago...
Compliance Analyst– Control Room
at The Compliance Search Group in New York, NY
Position Description:
Responsible for day to day maintenance of the Firm’s Information Barrier Policies.
Assists in the oversight and maintenance of the Firm’s Watch and Restricted lists and wall-crossing procedures.
Updates the Firm’s Watch and Restricted lists.
Reviews equity and debt research against the Watch and Restricted Lists in compliance with Firm’s policies, FINRA rules on disclosure and independence of research.
Works closely with Investment Banking, Research, Sales & Trading to provide accurate and consistent advice to their respective business areas, across a range of regulatory and reputational issues.
Conducts conflict reviews related to investment banking transactions.
Acts as a chaperone for communications between Investment Banking and Equity Research personnel.
Participate as member of the Firm’s Research Review Committee
Collaborate with the Legal Dept. and the various lines of business to draft and update policies and procedures
Conduct training presentations for Investment Banking and Equity Research personnel.
Minimum Requirements:
A successful candidate must have an undergraduate degree with at least 2-3 years of experience in a Control Room. He or she must be able to prioritize issues appropriately and analyze issues independently.
Have previous experience working with Investment Bank’s Watch and Restricted Lists
Have an understanding of the rules that govern Research, including 1933 Act Rules 138 and 139, NASD 2711, 2210 and NYSE 472.
Have a good working knowledge of the Global Research Settlement, with prior experience chaperoning communications between research and investment banking.
Must exhibit strong analytical skills; ability to assess potential conflicts of interest and advise accordingly.
Must have interpersonal skills and the ability to effectively communicate with colleagues within the Legal & Compliance Division as well as those within various lines of business.
Must have strong writing and presentation skills.
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Responsible for day to day maintenance of the Firm’s Information Barrier Policies.
Assists in the oversight and maintenance of the Firm’s Watch and Restricted lists and wall-crossing procedures.
Updates the Firm’s Watch and Restricted lists.
Reviews equity and debt research against the Watch and Restricted Lists in compliance with Firm’s policies, FINRA rules on disclosure and independence of research.
Works closely with Investment Banking, Research, Sales & Trading to provide accurate and consistent advice to their respective business areas, across a range of regulatory and reputational issues.
Conducts conflict reviews related to investment banking transactions.
Acts as a chaperone for communications between Investment Banking and Equity Research personnel.
Participate as member of the Firm’s Research Review Committee
Collaborate with the Legal Dept. and the various lines of business to draft and update policies and procedures
Conduct training presentations for Investment Banking and Equity Research personnel.
Minimum Requirements:
A successful candidate must have an undergraduate degree with at least 2-3 years of experience in a Control Room. He or she must be able to prioritize issues appropriately and analyze issues independently.
Have previous experience working with Investment Bank’s Watch and Restricted Lists
Have an understanding of the rules that govern Research, including 1933 Act Rules 138 and 139, NASD 2711, 2210 and NYSE 472.
Have a good working knowledge of the Global Research Settlement, with prior experience chaperoning communications between research and investment banking.
Must exhibit strong analytical skills; ability to assess potential conflicts of interest and advise accordingly.
Must have interpersonal skills and the ability to effectively communicate with colleagues within the Legal & Compliance Division as well as those within various lines of business.
Must have strong writing and presentation skills.
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Published at 21-06-2010
Viewed: 11 times
Viewed: 11 times