Compliance Control Room - Vice President

Overview

Our client has an exciting opportunity for a Vice President to join its Compliance team in New York, where they will be  responsible for implementing the global Control Room strategy. The Control Room administers firm-wide policies to ensure that client and its respective platforms fulfill their regulatory obligations and manage conflicts of interest, including  establishing and monitoring information barriers to prevent the misuse of material nonpublic information. The role 
requires regular interaction with senior management and business, legal, and compliance personnel across the entire  organization.

This is a highly visible, cross-functional role requiring regular interaction with senior management, investment professionals, legal, compliance, and operational teams across the organization and internationally.

Responsibilities

• Identify, assess, escalate, and manage conflicts of interest across business groups, regions, and investment platforms.

• Oversee the implementation, communication, and maintenance of firmwide watch lists and restricted lists.

• Advise investment and business teams on confidential information and MNPI-related matters.

• Manage and enforce information-barrier protocols, including wall-crossing requests, insider-list considerations, and related electronic-communications surveillance.

• Support the design, implementation, and ongoing enhancement of Control Room policies, procedures, systems, and governance frameworks.

• Provide practical guidance on information-barrier matters arising from new products and business initiatives, office-space arrangements, technology access, and cross-functional collaboration.

• Review and manage escalations related to employee personal trading, private investment requests, and outside business activities.

• Partner with external counsel, deal professionals, Legal, Compliance, and other stakeholders to identify, evaluate, and mitigate potential conflicts.

• Monitor investment-review or comparable governance meetings to identify conflicts, MNPI considerations, and potential trading restrictions.

• Monitor firm trading activity and administer pre-clearance processes where required.

• Help drive a consistent, commercially practical approach to Control Room oversight across a global organization.

Requirements