Control Room Compliance Lead: Info Barriers & Risk

Bank N.A.; Chicago (IL); On-site; USD 120,000 - 180,000; Full time

Job summary

Bank N.A. seeks a Compliance Officer for the Control Room to monitor and enforce information barriers between public and private sides of the business and support policy development for sensitive information handling.

The role involves high-pressure, time-sensitive work, cross-jurisdictional coordination, and potential non-standard hours. Prior investment banking regulatory exposure is a plus, with a focus on effective compliance controls and collaboration with stakeholders.

Qualifications

• Knowledge of regulatory environment and regulatory expectations as it applies to investment or corporate banking.
• Ability to work under high pressure with tact, discretion and composure.
• Flexibility to work non-standard hours, including certain statutory holidays.

Responsibilities

• Compliance Program Execution and Monitoring includes coordinating coverage across jurisdictions, reviewing research for compliance with policies and Wall Crossing procedures, maintaining grey and restricted lists, and monitoring communications to ensure regulatory and policy adherence.
• Regulatory Consultation provides advisory services to LOB management and staff, performs testing and analyzes KPIs to ensure Capital Markets policies are met, and reviews disclosures for compliance.
• Regulatory Governance requires maintaining expertise on applicable regulations and directives, and contributing to governance practices within the LOB Compliance groups.

Job description

Bank N.A. seeks a Compliance Officer for the Control Room to monitor and enforce information barriers between public and private sides of the business and support policy development for sensitive information handling.

The role involves high-pressure, time-sensitive work, cross-jurisdictional coordination, and potential non-standard hours. Prior investment banking regulatory exposure is a plus, with a focus on effective compliance controls and collaboration with stakeholders.