Control Room Compliance Specialist

LevelUP HCS; New York (NY); Hybrid; USD 150,000 - 225,000; Full time

Job summary

LevelUP HCS is seeking a Vice President for their Control Room group in New York. The ideal candidate will maintain compliance, oversee watch lists, and collaborate with various departments. This role demands high professionalism, multitasking abilities, and a deep understanding of securities regulations. It includes a hybrid work schedule and offers a competitive salary range of $150,000 to $225,000.

Qualifications

• 2+ years of experience in Control Room or Compliance preferred.
• General understanding of financial markets and regulations.
• Ability to work both independently and collaboratively.

Responsibilities

• Maintain the Firm’s Watch List and Restricted Lists.
• Review research reports for regulatory compliance.
• Conduct surveillance activities including Personal Trading analysis.

Skills

Professionalism

Multitasking

Prioritization

Detail-oriented

Collaboration

Education

BS/BA degree

Series 7, MBA, or JD

Job description

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Base pay range

$150,000.00/yr - $225,000.00/yr

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Group Description: The Control Room is a specialized group within the Compliance Department responsible for maintaining the firm’s Information Barriers. Seeking to hire a VP for the Control Room group located in New York, NY.

Primary Responsibilities: The role will interact daily with members of the firm’s Investment Banking and Research departments as well as other Legal and Compliance personnel. The role requires a professional and diplomatic individual with the ability to multitask and prioritize tasks accordingly.

• Maintain the Firm’s Watch List and Restricted Lists

• Review research reports to ensure adherence to applicable SEC and FINRA Rules and Firm policy. • Effect Wall Crossings and conduct related surveillance activities.

• Chaperone Investment Banking and Research Communications and provide guidance regarding permissible activities.

• Conduct surveillance activities including Personal Trading analysis.

• Participate in drafting related policies and procedures.

• Hybrid work schedule which includes rotational weekend coverage

Specific Qualifications:

• 2+ years of Control Room or Compliance related experience preferred.

• Possess a general understanding of financial markets and/or securities regulation and rules.

• Ability to work independently and collaboratively with other members of the team and Compliance Department.

• High levels of ethics, integrity, and judgment.

• Ability to work as a member of a team in a high-pressure, high-risk, fast-paced environment.

• Detail-oriented with ability to multitask, organize and prioritize workflow.

• BS/BA degree (Series 7, MBA, or JD a plus).

• Excellent written and verbal communication skills.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Administrative

• Industries

  Financial Services, Banking, and Investment Banking

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