CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Day to day involvement in the core responsibilities of Control Room Compliance including:
maintaining and monitoring the firm's Chinese walls/ wall crossings/ flow of non-public information
pre-clearing permitted communication between banking and research
obtaining deal updates from bankers
implementing necessary sales, trading and research restrictions,
maintaining the firm's insider lists
Providing advice and guidance to front office businesses in respect of permissible interaction with research analysts/providing chaperoning as necessary and on implications of firm's Restricted List Policy and other Control Room related activities.
Providing ongoing advice and guidance to the business in respect of Chinese wall, insider dealing and market abuse issues.
Participating in the Compliance team training efforts and taking responsibility for providing training to various business areas in specific areas of expertise.
Participating in the conduct of internal and external enquiries and investigations as necessary.
Provide mentoring and coaching to the less experienced members of the Control Room in order to improve / enhance their knowledge.
Knowledge, Skills & Experience Required
Control Room experience/ with exposure to a Control Room environment.
Methodical person with attention to detail, strong administrative skills and analytical approach to problem solving.
Ability to identify real issues and know when to escalate.
Ability to meet tight deadlines and to make quick and reasoned decisions under pressure.
Excellent interpersonal skills, strong personality, confident, highly motivated and organised. A team player, but able to operate under own initiative.
Good working knowledge of regulatory and internal control requirements, particularly in relation to effective Chinese wall arrangements.