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Subject: Control Room Compliance Officer, Regulatory Affairs & Compliance Virginia

Gerald Elliott posted a job: Control Room Compliance Officer, Regulatory Affairs & Compliance Virginia

"Our client, an investment bank, seeks an experienced candidate to join the Control Room Compliance Group which is responsible for Research and Investment Banking Compliance. The candidate will interact daily with members of the Research and Investment Banking departments and work with other members of the Control Room Compliance Group and Compliance Department in carrying out the assigned Compliance duties and oversight. The candidate should be comfortable interacting with different levels of business lines and senior management, and be able to conduct presentations and training sessions. Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment are required along with a professional and detail-oriented demeanor. Initiative in accomplishing tasks, reviews and solving problems are also necessary skill sets. Responsibilities: * Assist in implementing the firm's Information Barrier policies and procedures by maintaining the firm’s Watch and Restricted Lists * Communicating with Sales, Trading, Research and Investment Banking personnel regarding specific firm transactions and compliance related issues * Assist business line management with Information Barrier Over the Wall requests * Conduct surveillance of trading activities in relation to the firm’s Watch and Restricted Lists * Conduct compliance controls and reviews addressing research and investment banking activities at the firm * Implement the firm’s employee trading policy * Assist in responding to regulatory inquiries and keeping the Control Room current about relevant regulatory changes * Manage multiple, deadline-oriented tasks in a fast-paced environment * Draft Compliance Alerts, Compliance Manuals and Supervisory Manuals * Assist with the preparation of routine presentations to large and small groups on compliance issues Qualifications: The candidate should have a basic understanding of the rules and regulations relevant to the operation of a Control Room for an investment bank. An ideal candidate would have 5-7 years of experience in any of the following areas: * Knowledge of securities laws including SEC Reg M, FINRA Rule 2711, SEC Rules 137, 138, 139, 144A and Reg D * Application of trading and communications restrictions during quiet periods before and after capital markets transactions and lock-up expirations * Bachelor’s degree required * Series 7 and 24 Preferred * Competency with MS Office (Word, Excel, Outlook) * Ability to learn and adapt to relevant trading and back-office systems * Excellent written, interpersonal and oral communication skills * The firm is open to relocation To apply please submit your resume to Info@compliancesearch.com"

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