We are looking for a Control room compliance Officer (Remote) who will be responsible for Responsible for maintaining the firm’s Information Barriers to restrict the improper flow of information for a contract duration of 12 months in Jersey City, NJ
We at Ian Martin envision a world where everyone is connected in meaningful work and if you find great meaning in developing some of the most widely used products in the world, then we have the career path for you.
Day to day responsibilities:
Responsible for maintaining the firm’s Information Barriers to restrict the improper flow of information and prevent the misuse of material non-public information between the public side areas of the firm (e.g., Research, Sales & Trading) and the private side areas (e.g., Investment Banking, Capital Markets, Leverage Finance).
Maintain the Firm’s Watch and Restricted Lists. Implement restrictions pursuant to securities laws and Firm policies and procedures.
Review the Firm’s Research prior to publication to ensure it adheres to FINRA and SEC rule requirements.
Advise Research, Investment Banking, and various origination groups.
• Review research notes / reports submitted to the Control Room by Supervisory Analysts for review and approval of content against the Watch / Restricted Lists
• Restricted List: daily updating and monitoring of the Restricted List
• Watch List: daily updating and review of the Watch List – additions, deletions and obtain updates from Investment Banking.
• Responsible for non-public information (security)
• Investment banking (Wall Street restricted list)
• Involved in pre-clearing of trades.
• Global platform will be transforming their databases.
• Previous control room experience
• 4-6 years of experience
• “Trade Surveillance” experience is a big plus.
• Financial services background
Top 3 skills:
• Watch list updates, Trade preclearance, Trade surveillance.
• Flexible, excellent communication skills, someone who can work independently.
Looking for Meaningful Work? We can help.
If you are Control room compliance Officer, you know that it can be difficult to find fulfilling work that advances your career. At the Ian Martin Group, we exist to connect professionals like you with meaningful work at industry-leading companies in your field. And we walk the walk, too: as a Certified B Corporation, we believe in using business as a force for good for people, our communities, and the environment.
We value diversity and inclusion and encourage all qualified people to apply. If we can make this easier through accommodation in the recruitment process, please contact us at firstname.lastname@example.org.
We encourage all qualified candidates to apply; however, only those selected for an interview will be contacted.