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Compliance

Control Group Officer

NYC

Control Group Officer

***NEED TO HAVE: Cleared research, Chaperoning, and Policy Writing***​

For this role following backgrounds will also work:

·         Research Compliance Officer

·         Investment Bank Compliance Officer

·         ECM Compliance Officer ( Enterprise Content Management)

·         Control Group Officer

Pay rate: 1099/C2C $650- $820

Location: Hybrid NYC

 Description:

Global leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research and wealth and asset management services.

Essential Duties & Responsibilities:

This position is for a Control Group role (which will include Investment Banking or Research Compliance, depending on the applicant’s experience):

  • Assist and advise on IB and Capital Markets transactions, including conflicts review.
  • Maintenance of the Firm’s Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams
  • Review Equity Research and FI Strategy notes prior to public dissemination.
  • Advisor to business groups’ Legal and Compliance colleagues on Information Barriers, wall-crossing procedures, sensitive information, and need-to-know policies.
  • Chaperoning communications between IB and Research.

Required Background & Skills:

We seek a highly motivated individual willing to actively participate as part of the company’s Compliance team.

The candidate must:

  • 3-6+ years relevant Legal or Compliance experience, preferably working in a Control Room, Investment Banking Compliance, or Research Compliance.
  • Be able to interpret and apply SEC, FINRA, and other regulatory rules.
  • Think analytically and provide advice based on sound judgment.
  • Work effectively in a team environment and foster effective relationships.
  • Willing to be flexible to cover different shifts and take on ad hoc projects.
  • Be able to react in a fast-paced environment, managing a wide variety of requests.
  • Be able to work positively and make decisions under time pressure.
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