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Head of Control Room

Company: Michael Page International
Location: Manhattan
Posted on: June 2, 2021

Job Description:

Save JobJob DescriptionSummarySimilar JobsOpportunity to work in a dynamic work environment Client will move quickly with a qualified candidate About Our ClientOur client is a Broker-Dealer subsidiary of a large investment bank located in NYC.Job DescriptionMPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.DescriptionAdvise business units on the maintenance of their policies and procedures with a focus on the current compliance framework as a reference point.Ensure that global distributed research produced/distributed by the firm is reviewed/cleared on a timely basis to ensure compliance with rules, regulations, policies, and procedures.Provide advice on regulatory and compliance requirements to business unit management and staff so that they may conduct their business in conformance with regulatory requirements.Maintain Restricted List and Watch List.Manage Wall Crossings and maintain up-to-date insider lists / above the wall lists.Conduct monthly meetings with business unit management to proactively identify emerging business issues and discuss related or new regulatory requirements.Manage a Conflicts of Interest program.Coordinate and work with affiliates to address cross-border issues, reporting requests, and special projects.Seek operational efficiencies and automation of processes to reduce the risk of manual processesInterface with regulators and Internal Audits during compliance-related examinations & audits related to coverage area.Review potential employee conflicts such as Outside Business Activities, Personal Trading and Email Communications.The Successful ApplicantBachelor's degree15+ years of regulatory compliance experience at broker-dealersStrong foundation in US securities laws and regulations and broker-dealer operations.Must be well organized with prioritization and project management skills on a global scale.Ability to manage multiple assignments and build consensus among stakeholders communication skills among other attributes.Ability to translate technical subject matter and convey it in easily understandable components for the clients.Attention to detail and discipline to follow up on issues until resolved.FINRA Series 7, 24, 79, or JD would be a plus - not required.What's on OfferOur client offers a competitive salary package and benefits.ContactJosh DelgadoQuote job ref1527960Job summarySectorBanking & Financial ServicesSub SectorCompliance & LegalIndustryFinancial ServicesLocationManhattanContract TypePermanentConsultant nameJosh DelgadoJob Reference1527960Email JobSave JobApplyStay signed in?Get the best experience with faster job applications and easy access to your CV and profile.This is not recommended for shared devices.SDL2017

Keywords: Michael Page International, Manhattan , Head of Control Room, Other , Manhattan, Kansas

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