Senior Level Control Room Compliance Officer

Serve as principal deputy in multi-faceted, regional Control Room

Main Duties 
• Participate in all aspects of the day to day operation of the Control Room for the US region and help provide oversight and monitoring of Control Room staff 
• Assist in the establishment, oversight and maintenance of Chinese walls and information barriers throughout the region 
• Assist in the oversight and maintenance of the Firm’s Watch and Restricted lists and wall crossing procedures for the region 
• Advise trading desks on acceptable trading strategies in restricted securities 
• Assist in the management of trade surveillance and monitoring functions 
• Advise on relevant U.S. Securities Law matters 
• Assist in responding to various regulatory inquiries 
• Liaise with the Research, Advisory, Conflicts and business Compliance teams and with other regional Control Rooms 
• Participate in the creation and maintenance of policies, procedures and guidelines for all Control Room functions 
• Assist in training efforts of incoming Firm analyst and associate classes and new employees in the Control Room

The Compliance Search Group is the oldest, largest and most respected global search firm focused on the placement of Compliance, Legal, Risk Management, Audit, Credit, Accounting, Financial Controls and Regulatory professionals.

The Compliance Search Group offers:
• Recruiting
• Temporary to Long Term Consultants
• Job Board Postings
• Management Consulting


Compliance | Legal | Regulatory | Accounting | Audit | Risk Management | Operational Risk I Counterparty Credit | Financial Controls