Global Control Room Compliance Analyst

The Rise Fund; Rockhampton Regional; On-site; AUD 99,000 - 155,000; Full time

Job summary

TPG is seeking an Analyst to join its Compliance team in New York to implement the global Control Room strategy and ensure regulatory obligations are met across platforms. The role involves maintaining watch lists, information barriers, and conflict management in collaboration with business, legal, and compliance teams.

The candidate will identify conflicts, support policy development, and liaise with external parties to mitigate risks, while handling trade reviews and escalations in a

Qualifications

• Bachelor's degree required in a relevant field.
• 1+ years of compliance experience in financial industry.
• Self-motivated team player with ownership of tasks.
• Strong organizational skills and attention to detail.
• Excellent written and oral communication skills.
• Experience in fast-paced environments and meeting deadlines.
• Proficiency in Microsoft Office (Excel & PowerPoint).
• Willingness to complete FINRA SIE within 9 months of hire.
• Knowledge of Investment Management and Private Funds regulatory framework is a plus.

Responsibilities

• Identify, escalate, and manage conflicts of interest across groups, regionally and globally.
• Oversee implementation, communication, and maintenance of watch lists and restricted lists.
• Manage and enforce information barriers, including wall-cross requests and supervision of communications.
• Assist in developing policies and systems for control room and conflict issue administration.
• Advise business units on information barrier issues related to new products, initiatives, space sharing, and tech access.
• Manage escalations of personal trading, private investments, and outside business activity requests.
• Coordinate with outside law firms and deal professionals to identify and mitigate conflicts; monitor investment review committee meetings.
• Implement, monitor, and dismantle temporary information barriers.
• Review and process firm trade requests.
• Assist in Control Room projects and initiatives.

Skills

Attention to detail

Written & verbal communication

Organizational skills

Self-motivated

Microsoft Excel

PowerPoint

FINRA SIE

Education

Bachelor's degree in a relevant field

Tools

Microsoft Excel

Microsoft PowerPoint

Job description

TPG is seeking an Analyst to join its Compliance team in New York to implement the global Control Room strategy and ensure regulatory obligations are met across platforms. The role involves maintaining watch lists, information barriers, and conflict management in collaboration with business, legal, and compliance teams.

The candidate will identify conflicts, support policy development, and liaise with external parties to mitigate risks, while handling trade reviews and escalations in a