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Control Room

  • Location:

    New York

  • Sector:

    Risk & Compliance

  • Job type:

    Permanent

  • Salary:

    Up to US$190000 per annum

  • Contact:

    Nick White

  • Contact email:

    Nick.White@oliverjames.com

  • Job ref:

    JOB-102022-184924_1677676739

  • Published:

    12 dagen geleden

  • Expiry date:

    2023-03-31

What will you be doing?

  • Liaising with senior bankers in relation to transactions, assimilating and analysing relevant information to evaluate risks and requirements for preventative and detective controls
  • Exercising attention to detail in maintaining accurate records of inside information, the watch list, restricted list and wall crossings
  • Advising on information flows, information barriers and inside information considerations, acting as a check and challenge function
  • Reviewing wall crossings in consultation with business heads acting as Wall Crossing Approvers
  • Keeping accurate and detailed records to ensure the integrity of firm's information barriers are appropriately monitored
  • Applying firm wide restrictions in response to formal transaction announcements and advising on restricted activity in a time sensitive manner
  • Investigating breaches of policy, and liaising with Product Compliance and the relevant supervisors as required to issue policy breach notifications
  • Participating in Control Room projects or regulatory reviews as required

What we're looking for:

  • Expert understanding of core control room processes and controls
  • Equally comfortable working independently and as a team leader and mentor to junior staff
  • Fundamental knowledge and understanding of key rules, regulations and market practices for financial products, trading and markets, corporate finance and investment research
  • Understanding of key US and Non-US regulations relevant to the capital formation process such as the 1933/34 Act and Rules, 138/139 safe harbour analysis, JOBS Act, Reg M, Reg S

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