Job Details – this job has expired, please see similar jobs below
As Company adapts to new opportunities and challenges, Regulatory Compliance is adapting too.
We are continuously evolving our approach to provide meaningful guidance, oversight, and manage risk, while continuing to support our business partners in achieving our goals. Be it curious learning, global cooperation, inspiring creativity or elevating performance, our Compliance: Collaborate, Challenge, Create strategy is our commitment to growing intelligently together and we need people like you to join us.
With the Regulatory Compliance team you will have the opportunity to learn and grow new skills, develop your career and do work that matters in an ever-evolving environment. Are you up for the challenge?
What is the opportunity?
Responsible for maintaining the firm's Information Barriers to restrict the improper flow of information and prevent the misuse of material non-public information between the public side areas of the firm (e.g., Research, Sales & Trading) and the private side areas (e.g., Investment Banking, Capital Markets, Leverage Finance)
Maintain the Firm’s Watch and Restricted Lists. Implement restrictions pursuant to securities laws and Firm policies and procedures
Review the Firm’s Research prior to publication to ensure it adheres to FINRA and SEC rule requirements
Advise Research, Investment Banking and various origination groups
Collaborate with regional Compliance and Law Group colleagues/counterparts to implement global policies and procedures in relation to personal trading, conflicts of interest, and information barriers
What will you do?
Review research notes / reports submitted to the Control Room by Supervisory Analysts for review and approval of content against the Watch / Restricted Lists
Restricted List: daily updating and monitoring of the Restricted List
Watch List: daily updating and review of the Watch List – additions, deletions and obtain updates from Investment Banking
Conflicts: collaborate with regional Compliance and Law Group colleagues/counterparts to help with the identification and management of conflicts of interest
Advisory / Real-time Support:
◦ Advise Research and Sales & Trading of restrictions and corresponding permissible activities
◦ Coordinate with Investment Banking regarding deal announcements, advise on questions regarding the Watch and Restricted Lists
◦ Assist with conducting annual and other ad hoc training of all supported business segments
◦ Assist with responding to compliance-related audit examinations, regulatory requests, and internal investigations involving all supported business segments
Manage Information Barriers Surveillance program
Perform pre-clearance of employee trades as required
Ensure that employees understand Company vision, as well as support and reinforce targeted behaviors that contribute to Company goals.
Provide focus and clarity in establishing individual goals, driving performance management, supporting career development and rewarding strong performance.
Leverage the value in unit, department, and enterprise wide teams to develop better solutions and achieve a cross enterprise mindset.
Accept and successfully execute change while supporting employees through the process, and keeping them focused on business priorities.
Understand and exemplify our people driven, client focused leadership model; driving impact, unlocking the potential of our people, adapt quickly, always learning and speaking up for the good of Company.
Contribute to an exceptional employee experience through strong people leadership practices that amplify our Collective Ambition and exemplify the Leadership Model to inspire, support and empower employees to achieve their potential.
Growth mindset and a focus on always learning; promotes a values based and inclusive workplace; embraces diverse styles and perspectives; Actively mitigates bias and improves diversity representation
What do you need to succeed?
Knowledge of the Firm’s Information Barrier policy
Familiarity with Regulation M, NASD Rule 2711 and other relevant SEC rules and regulations
Knowledge of Company business units
Working knowledge of systems, technology and databases
Proficient analytical skills
What’s in it for you?
We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation
Leaders who support your development through coaching and managing opportunities
Ability to make a difference and lasting impact
Work in a dynamic, collaborative, progressive, and high-performing team
Join our Talent Community
Stay in-the-know about great career opportunities at Company. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you.
Expand your limits and create a new future together at Company. Find out how we use our passion and drive to enhance the well-being of our clients and communities at Company website.
Sign up and search through 65,219 curated jobs in the Finance & Investment Edition: