Director, Control Room Compliance – Capital Markets

Larson Maddox; Boston (MA); Hybrid; USD 130,000 - 160,000; Full time

Job summary

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.

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.

Responsibilities

• 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.

Skills

Analytical capabilities

Communication skills

Proactive approach

Judgment

Attention to detail

Job description

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.