Control Group Compliance Officer - Jersey City, United States - DataAxxis

DataAxxis
DataAxxis
Verified Company
Jersey City, United States

1 week ago

Mark Lane

Posted by:

Mark Lane

beBee recruiter
Description

Position:
Compliance Control Group Officer
Contract Length: 4-months (military leave)

Pay Rate: 1099/C2C $650- $820


Location:
Hybrid/Manhattan or Jersey City Office


Company Description:


We are a global leading full-service investment banking and capital markets firm offering advisory, sales and trading, research, and wealth and asset management services.


Essential Duties & Responsibilities:

This role encompasses a Control Group position, with a focus on Investment Banking and Research Compliance


Key responsibilities include:

  • Assist and provide guidance on Investment Banking (IB) and Capital Markets transactions, including conducting conflicts review.
  • Maintain the Firm's Global Watch and Restricted Lists, including soliciting and responding to updates from investment banking teams.
  • Review Equity Research and FI Strategy notes before public dissemination.
  • Act as an advisor to business groups, Legal, and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information, and needtoknow policies.
  • Oversee and facilitate communications between IB and Research, ensuring compliance protocols are adhered to.

Additional Requirements:


  • Demonstrate proficiency in policy writing, research clearing, and chaperoning, particularly in compliance contexts.
  • Exhibit strong analytical skills and provide advice grounded in sound judgment.
  • Collaborate effectively within a team environment and cultivate productive relationships.
  • Display flexibility to cover different shifts and undertake ad hoc projects as required.
  • Thrive in a fastpaced environment, adeptly managing a diverse array of requests.
  • Make decisions promptly and positively under time pressure.

Required Background & Skills:

We are seeking a highly motivated individual with the following qualifications:

  • 3-6+ years of relevant experience in Legal or Compliance, preferably within a Control Room, Investment Banking Compliance, or Research Compliance role.
  • Execute efficient policy writing, research clearing, and chaperoning, particularly in compliance contexts.
  • Proven ability to think analytically and provide guidance based on regulatory requirements and best practices.
  • Excellent interpersonal skills with the capacity to communicate effectively across various levels of the organization.
  • Strong organizational skills with a keen attention to detail.
  • Bachelor's degree in Law, Finance, Business Administration, or a related field preferred.


Join our dynamic Compliance team and contribute to our commitment to maintaining the highest standards of regulatory compliance and ethical conduct.


Job Type:
Contract


Pay:
$ $820.00 per day


Benefits:


  • 401(k)
  • Dental insurance
  • Flexible schedule
  • Health insurance
  • Life insurance
  • Paid time off
  • Referral program
  • Vision insurance

Schedule:

  • 8 hour shift
  • Monday to Friday

Experience:


  • FINRA: 1 year (required)
  • Investment banking compliance: 3 years (required)
  • Research clearing: 2 years (required)
  • Policy writing: 2 years (required)
  • Chaperoning: 2 years (required)
Capital Markets: 3 years (required)


Ability to Commute:

  • Jersey City, NJ required)

Ability to Relocate:

  • Jersey City, NJ 07302: Relocate before starting work (required)

Work Location:
Hybrid remote in Jersey City, NJ 07302
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