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Job ID Number: 1262706406
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Chinese Wall/Control Room |
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| Job Title: |
Control Room & Research Compliance AVP/VP |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Our client, a top-tier financial services firm, seeks an AVP/VP to be responsible for the day-to-day Control Room surveillance, research review, the maintenance of the Watch and Restricted List and helping to vet conflicts of interest related to investment banking transactions.
TECHNICAL SKILLS
Required/Must have:
Systems and database experience, word, Excel
COMPETENCIES
Required/Must have:
A self starter and the ability to interact with investment bankers and senior management while working with minimal supervision. Specific expertise in surveillance, securities regulation, Chinese wall policies and procedures and review of research .
PRIOR WORK EXPERIENCE
Required/Must have:
3 plus years of insider trading surveillance and reviewing research.
Securities licenses are a plus
EDUCATION
Required/Must have:
Bachelor's degree or higher level of education
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
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