What will you be doing?
- Liaising with senior bankers in relation to transactions, assimilating and analysing relevant information to evaluate risks and requirements for preventative and detective controls
- Exercising attention to detail in maintaining accurate records of inside information, the watch list, restricted list and wall crossings
- Advising on information flows, information barriers and inside information considerations, acting as a check and challenge function
- Reviewing wall crossings in consultation with business heads acting as Wall Crossing Approvers
- Keeping accurate and detailed records to ensure the integrity of firm's information barriers are appropriately monitored
- Applying firm wide restrictions in response to formal transaction announcements and advising on restricted activity in a time sensitive manner
- Investigating breaches of policy, and liaising with Product Compliance and the relevant supervisors as required to issue policy breach notifications
- Participating in Control Room projects or regulatory reviews as required
What we're looking for:
- Expert understanding of core control room processes and controls
- Equally comfortable working independently and as a team leader and mentor to junior staff
- Fundamental knowledge and understanding of key rules, regulations and market practices for financial products, trading and markets, corporate finance and investment research
- Understanding of key US and Non-US regulations relevant to the capital formation process such as the 1933/34 Act and Rules, 138/139 safe harbour analysis, JOBS Act, Reg M, Reg S
