Vice President, Control Room Compliance Officer

Job Description

As a Vice President in Control Room Compliance, you will be a key advisor and guardian of our firm's integrity. You'll navigate complex regulations, support business growth, and maintain our strong reputation. This role offers a unique opportunity to make a significant impact and contribute to our success in a fast-paced, dynamic environment.

Responsibilities

• Provide daily advisory support to Global Equity Research, focusing on research independence, conflicts of interest, and MNPI controls.
• Guide business partners on evolving regulatory obligations, assessing compliance for new business activities.
• Review and evaluate business initiatives, ensuring alignment with regulations and firm policies.
• Develop and enhance policies for Research, information barriers, and Investment Banking interactions.
• Design and deliver targeted training programs to reinforce compliance and regulatory awareness.
• Lead Compliance Risk Assessments, identifying emerging risks, and present recommendations.
• Manage compliance issues, escalating and resolving them through formal channels with thorough documentation.
• Contribute to surveillance and monitoring activities for Global Research, leveraging data and technology.
• Partner with business functions for regulatory examinations, audits, and investigations.
• Independently manage projects, collaborate cross-regionally, and build strong relationships with senior stakeholders.

Qualifications

• Bachelor's degree is required, with a preference for advanced degrees (J.D., M.B.A., or equivalent).
• Minimum 5-8 years of Compliance experience in investment banking, broker-dealer, or financial services, with Control Room, Research Compliance, or information barrier expertise.
• Active FINRA Series 7 and Series 24 licenses or the ability to obtain them within a defined timeframe.
• Strong knowledge of equity research regulations, information barriers, and Investment Banking compliance.
• Excellent communication skills to build credibility and influence senior stakeholders.
• Analytical and problem-solving abilities, with a proactive and detail-oriented approach.
• Ability to work independently and as part of a team.
• Experience with global research distribution models and cross-border regulations is preferred.
• In-depth knowledge of FINRA Rules 2241/2242, Regulation M, Regulation AC, and related frameworks.
• Prior experience supporting regulatory exams or interactions with FINRA/SEC is an asset.