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Do Not Be Influenced by Others’ Negative Opinions of You
In-House
Attorney
Finance - Banking
3-5 yrs required
Corporate Compliance - Control Room Officer - Associate The candidate will be maintaining and monitoring the firm's Chinese walls/ wall crossings/ flow of non-public information, pre-clearance of permitted communication between banking and research, obtaining deal updates from bankers, use and impact of firm's Watch and Restricted Lists, implementing necessary sales, trading and research restrictions, research clearance. Proactively working with other Control Room teams in the London and Asia-Pacific to create a cohesive global Control Room team operating and applying consistent policies and procedures and IT infrastructure. Providing advice and guidance to front office businesses in respect of permissible interaction with research analysts/providing chaperoning as necessary and on implications of firm's Restricted List Policy and other Control Room related activities.
Qualification and Experience
The candidate must have 3-5 years of Control Room experience in an investment bank. Should preferably have Bachelor’s degree / JD degree. Experience / knowledge of securities laws and regulation and internal control requirements is required.
Ref: 160123590
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