Director Control Room Compliance

Larson Maddox; Boston (MA); Hybrid; USD 130.000 - 160.000; Vollzeit

Zusammenfassung

A compliance consulting firm in Boston is seeking an experienced Regulatory Recruitment Consultant to lead its Compliance Control Room. The role involves overseeing daily operations and managing information-barrier framework compliance. Candidates should have at least ten years of experience in compliance and direct involvement with Control Room operations within capital markets. The position requires strong analytical skills and communication abilities. This full-time role operates on a hybrid schedule and involves leadership responsibilities.

Qualifikationen

• Minimum of ten years of experience in a compliance, regulatory, or related function.
• Direct experience with Control Room operations in a capital markets environment.
• Strong knowledge of regulatory standards governing information‑barrier programs.

Aufgaben

• Oversee the firm’s information-barrier framework and related governance.
• Maintain the organization’s watch and restricted lists.
• Review, approve, and track wall-crossing requests.
• Manage the flow of MNPI between business units.
• Provide guidance on restrictions related to transactions or MNPI exposure.
• Monitor communications between Research, Sales & Trading, and Investment Banking.
• Review and approve research publications when list-related considerations apply.
• Advise research personnel on required disclosures related to transactions or covered companies.
• Monitor employee and firm trading activity tied to watch/restricted lists.
• Update and maintain policies and procedures governing Control Room operations.
• Oversee compliance attestations related to Control Room functions.
• Deliver periodic firm-wide Control Room training.
• Collaborate with compliance partners and business stakeholders.

Kenntnisse

Analytical capabilities

Communication skills

Proactive approach

Judgment

Attention to detail

Jobbeschreibung

Regulatory Recruitment Consultant at Larson Maddox

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

Base pay range

Direct message the job poster from Larson Maddox

Overview

An organization is seeking an experienced compliance professional to lead its Compliance Control Room within the broader Capital Markets Compliance function. The role is responsible for overseeing daily Control Room operations and managing the firm’s information‑barrier framework. Core responsibilities include monitoring and handling material non‑public information (MNPI), assessing and mitigating conflicts of interest, and ensuring regulatory compliance across business areas such as investment banking, research, and sales & trading.

The ideal candidate demonstrates strong analytical capabilities, excellent communication skills, and a proactive, accountable approach to work. This position reports to senior compliance leadership and operates on a hybrid schedule.

Responsibilities

• Oversee the firm’s information‑barrier framework and related governance
• Maintain the organization’s watch (grey) and restricted lists
• Review, approve, and track wall‑crossing requests
• Manage the flow of MNPI between business units
• Provide guidance on restrictions related to transactions or MNPI exposure
• Monitor and chaperone communications between Research, Sales & Trading, and Investment Banking
• Review and approve research publications when list‑related considerations apply
• Advise research personnel on required disclosures related to transactions or covered companies
• Monitor employee and firm trading activity tied to watch/restricted lists
• Update and maintain policies and procedures governing Control Room and information‑barrier operations
• Oversee compliance attestations related to Control Room functions
• Deliver periodic firm‑wide Control Room training
• Collaborate with compliance partners and business stakeholders to ensure adherence to internal policies and regulatory obligations

Required Qualifications

• Minimum of ten years of experience in a compliance, regulatory, or related function
• Direct experience with Control Room operations in a capital‑markets environment
• Strong knowledge of regulatory standards governing information‑barrier programs

Preferred Qualifications

• Legal training and/or regulatory agency experience
• Broader familiarity with broker‑dealer regulatory requirements
• Excellent written and verbal communication abilities
• Exceptional judgment, analytical skills, and attention to detail
• Ability to operate in a fast‑paced, high‑pressure environment
• High level of motivation and commitment to excellence

Seniority level

• Director

Employment type

• Full‑time

Job function

• Finance