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- Provide guidance on Firm Compliance policies regarding Information Barriers and Investment Banking Conflicts of Interest.
- Conduct training sessions on the Firm's policies and procedures related to Information Barriers. Stay abreast of securities laws and relevant regulations in this domain.
- Maintain and update the Watch and Restricted Lists for the firm.
- Coordinate and document Wall Crossings.
- Perform day-to-day review and approval of the firm's research publications to ensure compliance with research compliance rules (e.g., Rules 138/139) and to identify potential conflicts of interest. Collaborate with the business, Supervisory Analysts, Compliance, and Legal departments as needed.
- Review Investment Banking transactions for potential conflicts of interest and manage the Conflicts monitoring system. Collaborate with the business, Compliance, and Legal departments when necessary.
- Assist in executing the Investment Banking Compliance program, including compliance risk assessments and reporting.
- Facilitate interactions between the Investment Banking and Research teams.
- Monitor firm positions and handle regulatory filings pursuant to Section 13D, 13G, and 16 of the Securities Act. Conduct quarterly Section 13F filings.
- Aid in developing the Control Room Compliance program, including policy and technology enhancements.
- Coordinate with the Surveillance team regarding potential issues related to trading activities on the Watch and Restricted Lists.
- Collaborate effectively with other Compliance teams, including Bank Regulatory, Regulatory Change and Policy, Licensing and Registration, Personal Account Dealing (including Outside Business Activities and Personal Investments), and Surveillance.
- Ensure global consistency, where necessary or desirable, by liaising with Europe and Asia Control Rooms.
- Assist in conducting internal and regulatory inquiries and investigations as required.
- Manage Compliance issue escalation and reporting.
MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.The Successful Applicant
- Possession of a Bachelor's degree
- (JD desirable, securities licenses advantageous).
- Minimum of 3-5 years of pertinent financial industry experience
- Proficient understanding of securities regulation, particularly information barrier/conflicts clearance practices, and research rules. What's on Offer
- Strong benefits package
- Competitive Salary
- Expansive exposure points
- High growth opportunity
AVP - Control Room Compliance - New York, United States - Michael Page
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About Our Client
Client is a top, multinational financial services firm.
Job Description