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Subject: Control Room Officer New York

Gerald Elliott posted a job: Control Room Officer New York

"Our client is a top financial services firm and they are seeking a Control Room Officer who will support the Control Room and Trade Surveillance in ensuring that the firm has controls to manage its various product lines and businesses to identify, manage and escalate conflicts of interest to protect and enhance the reputation of the firm with its customers and regulators and to avoid significant financial loss. KEY RESPONSIBILITIES Control Room Activities • Provides a pro-active control room service to the various stakeholders in relation to regulatory, reputational and ethical matters, relating to the firm’s activities. This includes assessing transactions for potential conflicts, providing guidance on Information Walls, managing the Watch and Restricted lists, reviewing equity positions, providing assistance on research related matters, administering the Group Personal Account Dealing policy and procedures and managing the Outside Business Interest procedures. • Assist in the development and maintenance of Control Room policies and procedures designed to eliminate or minimize the risk of breaches of regulatory requirements and regulatory expectations and of damage to the firm’s Group's reputation. • Provides a fast and proactive turnaround to the business. • Ascertain, apply and promote to relevant stakeholders best Group practices in the area of Control Room matters. Trade Surveillance Activities • Daily analysis & investigation of alerts across Equities, Fixed Income, FX and Derivatives covering Market • Abuse and Insider Dealing behaviors for allocated jurisdictions. • Seamless alignment with other trade surveillance hubs • Documenting and reporting findings of alert investigations, including identification of appropriate escalation procedures. • Preparing reports to senior management regarding the status of alert investigation & escalation. Qualifications: • 3-6 years Control room experience • Possess advanced technical knowledge in conflict management, information walls, market abuse, insider dealing, investment research and regulatory disclosure obligations. • Has a core understanding of variations in such laws and regulations across various jurisdictions. Compliance skills • Core knowledge in risk identification, risk assessment, controls development, training, monitoring and reporting. • Core experience, shown by demonstrable achievements in the above areas. Analytical skills To apply please submit your resume to Info@compliancesearch.com"

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