Control Room Compliance Analyst

BBVA; New York (NY); On-site; USD 120,000 - 130,000; Full time

Job summary

BBVA USA in New York is seeking a Compliance professional to support the day-to-day management of the Control Room (CR) and Registration programs, ensuring a robust compliance framework for insider trading, MNPI, information barriers, and employee personal trading.

You will collaborate with Compliance, Legal, Operations, and business stakeholders to meet SEC, FINRA, CFTC, and other regulatory requirements, and assist with regulatory exams and audits.

Qualifications

• Bachelor’s degree or equivalent experience in a relevant field.
• Minimum 4 years of Compliance experience within US regulated financial institutions, preferably supporting Corporate & Investment Banking.
• Experience managing or supporting Control Room, Information Barriers, Employee Personal Trading, Conflicts of Interest, and Registration programs.
• Strong knowledge of SEC, FINRA, CFTC, NFA, Broker-Dealer, Capital Markets, Swap Dealer regulations.
• Experience supporting regulatory examinations, internal audits, and regulatory inquiries.
• Experience with surveillance platforms such as MCO or similar systems.
• Preferred FINRA SIE, Series 7 and Series 24 licenses; if not held, may need to obtain registrations.

Responsibilities

• Manage the day-to-day CR program and surveillance of insider trading, information barriers, and employee trading.
• Oversee US Information Barriers framework, Watch/Restricted Lists, wall-crossings, and annual reviews across US business.
• Investigate CR and employee trading matters; prepare documentation and communications; escalate as needed.
• Monitor regulatory developments and recommend updates to policies, procedures, controls, and surveillance processes.
• Manage the US Registration Program (FINRA, SEC, NFA where applicable) and ensure timely licensing compliance.
• Prepare management reporting and compliance metrics for senior leadership and regulators.

Skills

US securities regulations

Analytical skills

Project management

Excel

Google Workspace

Communication skills

Bilingual English/Spanish

Education

Bachelor’s degree in Business/Finance/Economics/Law or related field

Tools

Surveillance platforms (MCO)

Job description

BBVA USA in New York is seeking a Compliance professional to support the day-to-day management of the Control Room (CR) and Registration programs, ensuring a robust compliance framework for insider trading, MNPI, information barriers, and employee personal trading.

You will collaborate with Compliance, Legal, Operations, and business stakeholders to meet SEC, FINRA, CFTC, and other regulatory requirements, and assist with regulatory exams and audits.