Senior Compliance Officer
$80 - $88 per hourRussell Tobin
Seeking an experienced Senior Compliance Officer to support the Control Room/Equity Research Compliance function. This role will serve as the subject matter expert on Information Barriers, advise Equity Research and Investment Banking teams on regulatory compliance, manage wall crossings, maintain Watch and Restricted Lists, review equity research, support audits, deliver compliance training, and help develop compliance policies and procedures. Key Responsibilities Advise on Information Barriers, MNPI, wall crossings, and need-to-know policies. Support Equity Research, Investment Banking, Legal, and Compliance teams. Review and approve equity research as needed. Maintain Global Watch and Restricted Lists. Respond to audits and regulatory inquiries. Deliver compliance training and support policy development. Qualifications 10+ years of Equity Research or Control Room Compliance experience. Bachelor's degree required; Master's and FINRA licenses preferred. Strong knowledge of MNPI, SEC regulations, FINRA Rules 2241/2242, Regulation M, Safe Harbors, and the Global Research Analyst Settlement. Excellent analytical, communication, and stakeholder management skills with the ability to thrive in a fast-paced environment. ***Pay Range- $80.00-$88.00/hour Benefits Info Russell Tobin offers eligible employee’s comprehensive healthcare coverage (medical, dental, and vision plans), supplemental coverage (accident insurance, critical illness insurance and hospital indemnity), 401(k)-retirement savings, life & disability insurance, an employee assistance program, legal support, auto, home insurance, pet insurance and employee discounts with preferred vendors. #J-18808-Ljbffr Russell Tobin
Vacancy posted 3 days ago
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