This job ad has been posted over 40 days ago...
Control Room Research Compliance Officer
at Michael Lane in New York, NY
Formulate and implement the Firm’s Research and Information Barrier policies and procedures with the Equity and Fixed Income Research Departments and interactions between Investment Banking, Research and Sales and Trading personnel.
Chaperone conversations between investment banking/capital markets and equity research personnel for compliance with various research-related regulatory reforms.
Assist in developing and implementing policies and procedures as necessary for the research departments.
Educate the research departments about research rules and policies an d procedures during compliance presentations throughout the year.
Review and perform compliance surveillance and oversight of the Firm’s equity fixed income and emerging markets research for compliance with research rules.
Advise research employees on the Firm’s employee trading policy.
Review the Firms equity and fixed income research.
Monitor and update IBD assignments for Information Barrier purposes.
Assist in training and education of IBD personnel.
Prefer minimum 2 + years Control Room experience with knowledge of research activities.
To apply please submit your resumes to Michael Lane - MLane@ComplianceSearch.com
Chaperone conversations between investment banking/capital markets and equity research personnel for compliance with various research-related regulatory reforms.
Assist in developing and implementing policies and procedures as necessary for the research departments.
Educate the research departments about research rules and policies an d procedures during compliance presentations throughout the year.
Review and perform compliance surveillance and oversight of the Firm’s equity fixed income and emerging markets research for compliance with research rules.
Advise research employees on the Firm’s employee trading policy.
Review the Firms equity and fixed income research.
Monitor and update IBD assignments for Information Barrier purposes.
Assist in training and education of IBD personnel.
Prefer minimum 2 + years Control Room experience with knowledge of research activities.
To apply please submit your resumes to Michael Lane - MLane@ComplianceSearch.com
Published at 14-07-2010
Viewed: 12 times
Viewed: 12 times