Compliance Manager, Control Room

Job description

Job Description Summary Under intermittent supervision, uses extensive knowledge and skills obtained through experience, specialized training and/or certification in the securities industry to ensure compliance with securities rules and regulations, while supporting the Capital Markets Control Room department and its business partners. Collaborates with manager and team on Over-The-Wall monitoring, trade monitoring, chaperoning calls and emails, data collection, validation, analysis, and reporting of metrics. Maintains regular contact with business partners to identify, research, and resolve problems. Leads large or multiple projects with significant scope and impact. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues Job Description: Essential Duties and Responsibilities: Proactive/engaging member of the Control Room supporting Capital Markets Compliance, and informational barrier functions. Contr...