Compliance Control Room

Title: Compliance Control Room

Office Status: Hybrid New York City or Los Angeles

Pay Rate: $45

Contract Length: Not specified

ABOUT THE ROLE

A leading financial services organization is seeking an experienced Compliance Control Room professional to oversee controls designed to manage conflicts of interest, safeguard confidential information, and maintain effective information barriers. This role partners closely with Investment Banking, Sales & Trading, Research, and other business functions while supporting compliance monitoring, surveillance, regulatory inquiries, and risk management activities. The position requires strong knowledge of broker-dealer compliance requirements and the ability to manage sensitive matters with sound judgment and discretion.

RESPONSIBILITIES

• Maintain and administer information barrier controls, including watch lists, restricted lists, deal lists, and conflicts clearance processes.
• Analyze compliance data and risk indicators using business intelligence and reporting tools.
• Monitor employee personal trading, electronic communications, gifts and entertainment, political contributions, and outside business activities.
• Perform periodic compliance testing and surveillance to identify potential issues and emerging risks.
• Partner with Sales, Trading, Research, Investment Banking, and other business teams on transaction-specific compliance matters.
• Serve as a control point for permitted interactions between restricted employee groups and address potential compliance concerns arising from monitored communications.
• Draft and enhance compliance policies, procedures, controls, and monitoring processes related to Control Room activities.
• Develop compliance metrics and reporting for management and assist with identifying and remediating emerging risks.
• Develop and deliver employee training covering relevant laws, regulations, policies, and compliance requirements.
• Monitor regulatory developments and assess their impact on Control Room activities.
• Respond to regulatory inquiries and support examinations conducted by regulators and internal audit.
• Provide compliance guidance to management and business partners while managing multiple time-sensitive initiatives.