VP, Control Room & MNPI Compliance

Nasdaq Private Market; New York (NY); On-site; USD 170,000 - 250,000; Full time

Job summary

Nasdaq Private Market is seeking a Vice President level Manager to lead the firm’s Control Room within Compliance. This role owns day-to-day information barrier operations, manages MNPI procedures, and coordinates with Legal, Trading, and Deal teams to prevent misuse of confidential information.

The role includes overseeing the restricted/watch lists, wall-crossing processes, training, and developing the Control Room Analyst/Associate.

Qualifications

• 5+ years of experience in broker-dealer or investment adviser compliance with information barrier or MNPI/watch list responsibility.
• Working knowledge of FINRA and SEC rules governing information barriers and insider trading prevention.
• FINRA Series 7 and Series 63 (Series 24 preferred; willing to obtain post-hire).
• Experience managing wall crossings and restricted/watch list administration in live transactions.
• Strong written communication; able to draft policy language and regulator-level memos.
• Prior people management experience or readiness to manage a direct report.

Responsibilities

• Own and operate the firm’s Control Room as central point for information barrier queries across affiliated entities.
• Maintain and update the restricted and watch lists; document rationale for changes.
• Administer wall-crossing procedures: log, approve, track, and remove when applicable.
• Monitor for information barrier breaches; investigate and escalate issues to CCRO with remediation recommendations.
• Coordinate with Legal, Deal Teams, Sales & Trading to mitigate MNPI leakage.
• Review and clear employee personal trading requests and disclosures that intersect with restricted holdings.
• Draft and test Information Barriers Policy and Control Room procedures; update for regulatory changes.
• Develop StarCompliance surveillance alerts tied to restricted securities and employee trading.
• Prepare Control Room metrics and respond to FINRA/SEC exam requests.
• Train Control Room staff and provide onboarding and ongoing refreshers.

Skills

Control Room

MNPI / Watchlists

Reg ATS knowledge

Policy drafting

People management

FINRA/SEC rules

Wall crossings

Education

Bachelor's degree

JD or CSCP (nice to have)

Tools

StarCompliance

Trading surveillance platform

Job description

Nasdaq Private Market is seeking a Vice President level Manager to lead the firm’s Control Room within Compliance. This role owns day-to-day information barrier operations, manages MNPI procedures, and coordinates with Legal, Trading, and Deal teams to prevent misuse of confidential information.

The role includes overseeing the restricted/watch lists, wall-crossing processes, training, and developing the Control Room Analyst/Associate.