Global Markets Compliance & Head of Control Room

JW Michaels & Co.; New York (NY); On-site; USD 150,000 - 215,000; Full time

Job summary

An established industry player is on the lookout for a Head of Control Room to spearhead compliance initiatives within their capital markets business lines. This pivotal role involves overseeing operations related to equity and credit markets, ensuring adherence to trading policies, and managing confidential information control. Candidates should possess robust experience in managing control room operations and be well-versed in regulations surrounding IPOs, M&A, and other deal structures. Join a dynamic team where your expertise will significantly impact compliance and operational excellence in a fast-paced financial environment.

Qualifications

• 5-10 years of experience in capital markets or similar strategies.
• Practical knowledge of deal structures like IPOs and M&A.

Responsibilities

• Lead and manage global Control Room initiatives and policy development.
• Serve as a compliance SME for business change initiatives.

Skills

Compliance Monitoring

Capital Markets Knowledge

Equity Market Mechanics

Control Room Operations

Risk Assessments

Job description

Global Markets Compliance & Head of Control Room

2 weeks ago Be among the first 25 applicants

Direct message the job poster from JW Michaels & Co.

Executive Recruiter at JW Michaels & Co.

Global multi-strategy investment platform is seeking a Head of Control Room for their NYC office.

This role will focus on capital markets business lines, covering equity and credit markets, and providing advisory support for trading policies. Candidates should be familiar with discretionary equity market mechanics, including regulations around IPOs, secondary offerings, PIPEs, debt offerings, mergers and acquisitions, private placements, and rights issues. Experience in managing control room operations, overseeing wall-crosses, handling MNPI, and maintaining information barriers is essential.

• Lead, develop, and manage global Control Room initiatives, including wall crosses, market soundings, MNPI, and confidential information control, along with policy and procedure development.
• Serve as a compliance SME for relevant business change initiatives.
• Act as an escalation point for compliance monitoring, testing, risk assessments, trade surveillance, and control evaluations within your coverage area.
• Respond to exchange and regulator queries related to US market activity.

Requirements:

• 5-10 years’ experience, preferably in a multi-manager firm, in roles covering fundamental equity, credit, capital markets, or similar discretionary strategies.
• Practical knowledge of deal structures like IPOs, secondary offerings, PIPEs, debt offerings, M&A, private placements, and rights issues.
• Experience in maintaining control room restrictions and deal approvals for multiple investment teams.

Seniority level

• Director

Employment type

• Full-time

Job function

• Accounting/Auditing and Legal

Industries

• Financial Services and Investment Management

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Location: New York, NY | Salary: $150,000 - $215,000 | Posted: 1 week ago