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. - 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 techn...