Control Room Analyst: Compliance & Conflicts Oversight

Aplaro Ltd; Shiremoor; On-site; GBP 52,000 - 70,000; Full time

Job summary

TPG in New York is seeking an Analyst to join its Compliance team. You will implement the global Control Room strategy, maintain watch lists, and ensure regulatory obligations are met while safeguarding conflicts of interest.

The role requires a Bachelor's degree and 1+ years in financial compliance; you will collaborate with business, legal, and compliance colleagues, handling information barriers and trade requests, with FINRA SIE to be completed within 9 months.

Qualifications

• Bachelor's degree; 1+ years of relevant compliance experience within the financial industry.
• Self-motivated and proactive team player who takes ownership and accountability of assigned tasks.
• Strong organizational skills, attention to detail, and excellent written and oral communication skills.
• Experience working in a fast-paced environment, demonstrating effective time/task management and the ability to meet strict deadlines.

Responsibilities

• Identify, elevate, and manage conflicts of interest across groups, both regionally and globally.
• Oversee the implementation, communication, and maintenance of firm watch lists and restricted lists.
• Manage and enforce the firm's information barrier, including wall-cross requests and related e-communications surveillance.
• Assist in developing policies and systems for firm-wide administration of control room and conflict issues.
• Advise business groups on all information barrier issues, which include, but are not limited to, new business products & initiatives, space sharing, and technology access.
• Manage escalations of issues arising from personal trading, private investment, and outside business activity requests.
• Coordinate with outside law firms, deal professionals, and other members of legal and compliance to identify and mitigate potential conflicts, including monitoring 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

Self-motivated

Organizational skills

Attention to detail

Communication skills

Time management

Education

Bachelor's degree

Tools

Microsoft Excel

PowerPoint

Job description

TPG in New York is seeking an Analyst to join its Compliance team. You will implement the global Control Room strategy, maintain watch lists, and ensure regulatory obligations are met while safeguarding conflicts of interest.

The role requires a Bachelor's degree and 1+ years in financial compliance; you will collaborate with business, legal, and compliance colleagues, handling information barriers and trade requests, with FINRA SIE to be completed within 9 months.