Compliance, Control Room, Analyst
On-siteSan Francisco, California, United States or New York, United States
Job Summary
Identify, escalate, and manage conflicts of interest across groups regionally and globally. Oversee the implementation, communication, and maintenance of firm watch lists and restricted lists. Manage and enforce the firm's information barrier, including wall-cross requests and e-communications surveillance. Advise business groups on information barrier issues related to new products, space sharing, and technology access. Coordinate with outside law firms and deal professionals to mitigate potential conflicts arising from personal trading, private investments, and outside business activities. Review and process firm trade requests while assisting in Control Room projects and initiatives. This role requires regular interaction with business, legal, and compliance personnel to ensure regulatory obligations are fulfilled. Candidates must complete the FINRA SIE within 9 months of hire and possess a Bachelor's degree with 1+ years of relevant financial industry compliance experience.
Required Qualifications
- Bachelor's degree
- 1+ years of relevant compliance experience within the financial industry
- Self-motivated and proactive team player who takes ownership and accountability of assigned tasks
- Strong organizational skills, attention to detail, and excellent written and oral communication skills
- Experience working in a fast-paced environment, demonstrating effective time/task management and the ability to meet strict deadlines
- Proficient in Microsoft Office (specifically Microsoft Excel & PowerPoint)
- Willingness to complete FINRA SIE within 9 months of hire
Desired Qualifications
- Knowledge of the Investment Management and Private Funds industry, including familiarity with the Investment Advisers Act of 1940 and relevant SEC/FINRA regulations
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