-
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 Firms 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...
See job listing >
Send this job to a friend
