VP Control Room Compliance
Arrow Search Partners
Our client, a global investment bank, is looking to hire a VP level compliance officer to their Control Room team. Key Responsibilities: Served as a trusted compliance advisor on matters involving information barriers, research independence, and conflicts of interest across investment banking and research functions within a global financial institution. Directed the governance of information barrier controls by interpreting securities regulations, enhancing internal policies and procedures, delivering employee training, and monitoring evolving regulatory requirements and industry standards. Managed the review and approval process for equity and fixed income research publications, ensuring adherence to applicable SEC and FINRA regulations while identifying and mitigating potential conflicts in coordination with Legal, Compliance, Supervisory Analysts, and business leadership Partnered closely with Legal and Compliance stakeholders supporting Investment Banking, Capital Markets, Research, Sales & Trading, and affiliated business lines to provide consistent regulatory guidance and risk oversight. Administered the firm's Watch and Restricted Lists, ensuring timely updates and appropriate trading restrictions in connection with confidential transactions and material non-public information. Oversaw wall-crossing procedures by advising business stakeholders on regulatory requirements, documenting approvals, and maintaining comprehensive audit records. Supervised communications between Investment Banking and Research teams to preserve research independence and ensure compliance with applicable information barrier protocols. #J-18808-Ljbffr Arrow Search Partners
Vacancy posted 19 hours ago
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