Compliance Control Room Officer
About The Position
The Global Capital Markets business engages in a range of securities-related activities primarily within the Wealth, Corporate, Commercial & Institutional Banking Division’s business platform and supporting functions. These activities include loan syndications, loan trading, private placements, derivatives, foreign exchange, debt origination, debt underwriting and sales and trading. The Compliance Control Room Officer is responsible for assisting the Control Room Manager in maintaining the USBI and USB information barriers and employee trading compliance programs, including the management and control of confidential information, including Material, Nonpublic Information, arising as result of activities and transactions engaged in by Capital Markets and investment banking related businesses and in compliance with all applicable laws, rules, regulations and firm policies and procedures impacting these businesses.
Requirements
- Bachelor's degree, or equivalent work experience
- Typically more than six years of applicable experience
- Institutional compliance experience supporting employee trading, information barriers, and related activities in the context of a Control Room or related environment with exposure to the activities of these employees and businesses.
- Superb administrative, organizational, analytical, reporting, and communication skills to drive cohesiveness of and to support the team's various activities.
- Must be FINRA associated.
- Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business.
- Considerable understanding of the business line’s operations, products/services, systems, and associated risks/controls.
- Thorough knowledge of Risk/Compliance/Audit competencies.
- Strong analytical, process facilitation and project management skills.
- Effective presentation, interpersonal, written and verbal communication skills.
- Effective relationship building and negotiation skills.
- Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations.
- Applicable professional certifications.
Responsibilities
- Assisting the Control Room Manager in maintaining the USBI and USB information barriers and employee trading compliance programs.
- Management and control of confidential information, including Material, Nonpublic Information, arising as result of activities and transactions engaged in by Capital Markets and investment banking related businesses.
- Ensuring compliance with all applicable laws, rules, regulations and firm policies and procedures impacting these businesses.
Benefits
- Healthcare (medical, dental, vision)
- Basic term and optional term life insurance
- Short-term and long-term disability
- Pregnancy disability and parental leave
- 401(k) and employer-funded retirement plan
- Paid vacation (from two to five weeks depending on salary grade and tenure)
- Up to 11 paid holiday opportunities
- Adoption assistance
- Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
- Incentive and recognition programs
- Equity stock purchase
- Pension
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Senior
