VP, Control Room & MNPI Compliance Leader

Nasdaq Private Market; New York (NY); On-site; USD 180,000 - 240,000; Full time

Job summary

Nasdaq Private Market is seeking a Vice President-level Manager to lead the Control Room within Compliance. You will own day-to-day information barriers between investment banking, research, ATS, capital markets, and advisory functions, managing MNPI and restricted lists.

You will supervise a direct report, coordinate with Legal and Deal Teams, and develop training and policy updates to reflect regulatory changes; this role reports to the CCRO.

Qualifications

• 5+ years of broker-dealer or investment adviser compliance experience.
• Experience with FINRA and SEC rules governing information barriers, insider trading prevention, and Regulation ATS.
• Series 7 and Series 63 required; 24 preferred or willing to obtain post-hire.

Responsibilities

• Own and operate the firm's Control Room as the central contact for information barrier questions across NPM Securities, SecondMarket Financial, and NPM.
• Maintain and update restricted and watch lists; process add/remove requests with documented rationale.
• Administer wall-crossing procedures: log requests, obtain approvals, track wall-crossed individuals, and remove when project ends or MNPI changes.
• Monitor for potential information barrier breaches; investigate exceptions and escalate to the CCRO with remediation recommendations.
• Coordinate with Legal, Deal Teams, Sales & Trading on MNPI-sensitive activity.
• Review personal trading disclosures and outside business activity for restricted/watch list intersections.
• Draft and test Information Barriers Policy and Control Room procedures; update for regulatory changes.

Skills

Compliance experience

Information barriers

Wall crossings

Written communication

People management

Education

Bachelor's degree

JD or CSCP (plus)

Tools

StarCompliance

Job description

Nasdaq Private Market is seeking a Vice President-level Manager to lead the Control Room within Compliance. You will own day-to-day information barriers between investment banking, research, ATS, capital markets, and advisory functions, managing MNPI and restricted lists.

You will supervise a direct report, coordinate with Legal and Deal Teams, and develop training and policy updates to reflect regulatory changes; this role reports to the CCRO.