Control Room Compliance Officer
My client is a prominent global investment bank that has presence in over 15 countries.
This firm is incredibly well-established and is a highly recognized brand.
Their San Francisco office is located between South Market and Mission District.
This is an incredible opportunity to join a market leader with a proven track record.
Description The duties of this position will include but are not limited to:
Review research notes / reports submitted to Control Room by Supervisory Analysts for review and approval of content against the Watch / Restricted lists Restricted List Functions Daily updating and monitoring of the Restricted List Assist with distribution of Restricted List e-mails Review published Research in order to determine what companies will be restricted Watch List:
daily updating and review of the Watch List - Watch List additions, deletions and obtain updates from Investment Banking Real-time Support Advise Research and Sales & Trading of restrictions and corresponding permissible activities Coordinate with Investment Bankers regarding deal announcements, advise on questions regarding the Watch and Restricted Lists Watch and Restricted List Surveillance Perform pre-clearance of employee trades as required Special projects Profile Minimum of 3-5 years in compliance or legal related experience Familiarity with Regulation M, FINRA Rule 2241 and other relevant rules and regulations Control Room experience Proficient analytical skills Excellent presentation and communications skills Job Offer This is a fantastic opportunity to enter a company while they experience great growth, and thus taking on more and more responsibilities, providing you with the career opportunities you want! A few of the many perks offered by our client are:
Competitive pay PTO High bonuses Regular reviews to ensure career growth Clear path towards leadership within the company My client is looking for a Control Room Compliance Officer, you will be responsible for maintaining the firm's Information barriers to restrict the improper flow of information and prevent the misuse of material non-public information between the public side areas of the firm (e.
g.
Research, Sales & Trading) and the private side areas (e.
g.
Investment Banking, Capital Markets, Leverage Finance).
.
Estimated Salary: $20 to $28 per hour based on qualifications.
This firm is incredibly well-established and is a highly recognized brand.
Their San Francisco office is located between South Market and Mission District.
This is an incredible opportunity to join a market leader with a proven track record.
Description The duties of this position will include but are not limited to:
Review research notes / reports submitted to Control Room by Supervisory Analysts for review and approval of content against the Watch / Restricted lists Restricted List Functions Daily updating and monitoring of the Restricted List Assist with distribution of Restricted List e-mails Review published Research in order to determine what companies will be restricted Watch List:
daily updating and review of the Watch List - Watch List additions, deletions and obtain updates from Investment Banking Real-time Support Advise Research and Sales & Trading of restrictions and corresponding permissible activities Coordinate with Investment Bankers regarding deal announcements, advise on questions regarding the Watch and Restricted Lists Watch and Restricted List Surveillance Perform pre-clearance of employee trades as required Special projects Profile Minimum of 3-5 years in compliance or legal related experience Familiarity with Regulation M, FINRA Rule 2241 and other relevant rules and regulations Control Room experience Proficient analytical skills Excellent presentation and communications skills Job Offer This is a fantastic opportunity to enter a company while they experience great growth, and thus taking on more and more responsibilities, providing you with the career opportunities you want! A few of the many perks offered by our client are:
Competitive pay PTO High bonuses Regular reviews to ensure career growth Clear path towards leadership within the company My client is looking for a Control Room Compliance Officer, you will be responsible for maintaining the firm's Information barriers to restrict the improper flow of information and prevent the misuse of material non-public information between the public side areas of the firm (e.
g.
Research, Sales & Trading) and the private side areas (e.
g.
Investment Banking, Capital Markets, Leverage Finance).
.
Estimated Salary: $20 to $28 per hour based on qualifications.
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