P
Control Room Compliance Officer
🔒 Direct submission to hiring team • Zero candidate fees
Role & Company Overview
Employer
Partnership Employment
Location / Model
New York City Metropolitan Area
Employment
Full-Time
Recruitment Type
Direct to HR Pipeline
Industry
General
Company Size
Headquarters
United States
Visa & Sponsorship
Global Talent Consideration
📋 Role Overview & Responsibilities
Control Room Compliance Officer
- Maintaining and updating the firm’s Watch and Restricted Lists.
- Monitor teammate personal trading activities in accordance with firm policy and applicable regulationsImplement restrictions pursuant to securities laws and firm policies and proceduresDrafting, reviewing, and updating Control Room-related written proceduresAssist the business with research vetting's from Investment Banking, the related wall crossings and chaperoning meetings between Investment Banking and Equity Research.
- Coordinate and record Wall Crossings.
- Conduct day-to-day review and clearance of the firm’s research publications in compliance with research compliance rules (e.g., Rules 138/139) and to identify potential conflicts of interest.
- Liaise where necessary with the business, Supervisory Analysts, Compliance and Legal.
- Conduct review of Investment Banking transactions for potential conflicts of interest and maintain the Conflicts monitoring system.
- Liaise where necessary with the business, Compliance and Legal.
- Support Investment Banking Compliance Coverage in executing the Investment Banking Compliance program, including compliance risk assessments and reporting.
- Chaperone interactions between the Investment Banking and the Research.
- Conduct firm position monitoring and respective regulatory filings pursuant to Section 13D, 13G and 16 of the Securities Act.
- Perform quarterly Section 13F filings.
Frequently Asked Questions
How do I apply for the Control Room Compliance Officer position at Partnership Employment? ▼
Click the “Apply for this Position” button on this page to submit your application directly to Partnership Employment without recruitment intermediary fees.
Is this position eligible for remote work or visa sponsorship? ▼
This position is located in New York City Metropolitan Area with potential relocation and sponsorship assistance depending on candidate qualifications.
Are there any candidate fees on Hirely? ▼
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