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Years of Experience
Date Last Verified
Senior Risk Manager - Global Control Room Manager Duties: Manage Capital One Commercial Bankâ€™s Global Control Room and Insider Trading Monitoring Program. Lead a team of Risk Specialists responsible for managing the Global Control Room and enforcing the firmâ€™s information barriers and policies. Day-to-day oversight of the Global Control Room responsibilities, which includes: monitoring and controlling the flow of material non-public information throughout the organization, determining associate public /private side designations, facilitating associate personal account disclosures and attestations, facilitating preclearance of personal transactions, providing guidance regarding physical and electronic segregation and procedural information barrier advice, conducting wall crossings, maintaining the Firmâ€™s Watch and Restricted Lists, implementing restrictions on sales, trading and research restrictions and personal account dealing as appropriate, performing research clearance, and trade surveillance. A core responsibility is to act as the gatekeeper in advising on permitted communications between public and private side associates including investment banking, research and institutional sales, which includes the chaperoning of permissible communications. Provide subject matter expertise in providing advice and guidance on issues, rules and regulators applicable to information barriers, investment banking and capital markets activity, research independence, disclosure of interest and conflicts of interest. Draft and maintain policies, procedures and guidance designed to document Global Control Room operating procedures and to support compliance with applicable regulatory obligations, corporate requirements and industry best practices. Assist the team in identifying and escalating issues through formal escalation channels, and facilitating timely and effective resolution Independently manage projects necessary to support initiatives both within the Compliance Department and across the firm globally.
Qualification and Experience
Qualifications: Bachelor degree or military experience. 5+ years of experience in compliance, or legal, or audit, or finance or regulatory experience in the financial services industry. Preferred:. Masterâ€™s Degree or JD Degree. Series 7 and 63, 9/10 or 24. Certified Regulatory Compliance Manager (CRCM), or Accredited Anti-Money Laundering Specialist (ACAMS), or Certified Fraud Examiner (CFE). 10+ years of experience in compliance, or legal, or audit, or finance, or regulatory experience in the financial services industry. Strong interpersonal and influencing skills with the ability to establish credibility and strong partnerships with business partners. Proven ability to communicate effectively at all levels both orally and in writing. An experienced manager with proven skills to lead, mentor and attract and retain talent. Capable of operating comfortably within a complex organizational structure. Excellent business judgment and problem solving and decision making skills. A self-starter with the aptitude to initiate action and deliver results, adapt to change, make difficult decisions, and accept challenging assignments. Work effectively both in a team environment and independently. Ability to manage complex projects and tasks simultaneously in a deadline-intensive environment . Highly organized, detail-oriented, and energetic individual. Experience in drafting compliance policies, procedures, alerts and manuals preferred. Process management skills and experience in designing and implementing complex technology driven initiatives.
Job ID: R32403
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