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Manage the day to day running of the Control Room Core Process functions.
First point of contact for core Control Room escalation.
Review 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.
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.
Provide advice on Information barriers.
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.
Support the Outside Business Interests function.
Manage the pre-deal research IPO pipeline and process.
Involvement in Regulatory Enquiries
Develop policies and procedures.
Deliver Compliance training.
6+ years' experience in a compliance function with preference for Control.
Room or private side advisory experience.
Is proactive and able to work to tight deadlines.
Articulate both orally and in writing.
Sound analytical skills.
Attention to detail and well organized.
Exercises good judgment.
Good working knowledge of the UK and EU regulatory framework.