Control Room Compliance Officer

JCW Group; New York (NY); On-site; USD 120,000 - 135,000; Full time

Job summary

A leading company in the Investment Banking and Financial Services sector is seeking a Control Room Compliance Officer in New York. This role is vital for maintaining information barriers and ensuring compliance with regulations. Responsibilities include monitoring communications, maintaining watch lists, and reviewing trading activities. Ideal candidates will have a relevant degree and experience in compliance or legal roles, along with strong analytical and communication skills.

Qualifications

• 2+ years of experience in compliance, legal, operations, or related roles within financial services.
• Strong understanding of securities laws and investment banking operations.

Responsibilities

• Monitor communications to prevent dissemination of MNPI.
• Maintain and update the firm’s Watch and Restricted Lists.
• Review personal trading activities for potential conflicts of interest.

Skills

Analytical skills

Communication skills

Organizational skills

Education

Bachelor’s degree in Finance, Business, Law, or a related field

Job description

This range is provided by JCW Group. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$120,000.00/yr - $135,000.00/yr

Job Summary:

The Control Room Compliance Officer plays a critical role in maintaining the integrity of the firm's information barriers and ensuring compliance with applicable regulations and internal policies. This position supports the day-to-day operations of the Control Room, including monitoring and managing the flow of sensitive information, reviewing employee trading activities, and maintaining watch and restricted lists.

Key Responsibilities:

• Monitor communications between private-side (e.g., investment banking) and public-side (e.g., research, trading) teams to prevent the improper dissemination of material non-public information (MNPI).
• Maintain and update the firm’s Watch and Restricted Lists; ensure proper documentation and classification of deal-related information.
• Track the progress of deals, including M&A, IPOs, and other advisory mandates, and ensure appropriate control room notifications and documentation are completed.
• Review personal trading activities of employees to identify potential conflicts of interest or breaches of policy.
• Coordinate and document wall-crossing procedures for employees who require access to MNPI.

Qualifications:

• Bachelor’s degree in Finance, Business, Law, or a related field.
• 2+ years of experience in compliance, legal, operations, or related roles within financial services.
• Strong understanding of securities laws, information barriers, and investment banking operations.
• Excellent analytical, communication, and organizational skills.

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

• Industries

  Investment Banking and Financial Services

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