Director, Control Room Compliance
$160,000–$260,000 year
On-siteSan Francisco, California, United States or Los Angeles, California, United States
San Francisco, California, United States or Los Angeles, California, United StatesOn-siteFull Time$160,000–$260,000 yearSenior LevelBachelors DegreeSmall
Full TimeSenior LevelBachelors DegreeSmall
Job Summary
Review research notes and reports for approval against Watch and Restricted Lists, updating these lists daily with additions, deletions, and external updates. Advise Research and Sales & Trading on restrictions and permissible activities, coordinate with Investment Banking regarding deal announcements, and conduct surveillance, monitoring, testing, and risk assessments. Cover Research and Investment Banking from an advisory perspective to ensure adherence to FINRA and SEC rule requirements. Non-traditional hours may be required for weekend coverage.
Required Qualifications
- Bachelor's Degree
- 10 or more years of Control Room experience, or 12 or more years experience in broker dealer compliance
- Ability to work under short deadlines and make quick and reasoned decisions
- Subject matter expertise with regard to FINRA Rule 2241, Regulation M, and other relevant rules and regulations
- Ability to work independently while also being able to work effectively in a team environment
- Compliance
- Critical Thinking
- Data Gathering Analysis
- Decision Making
- Financial Regulation
- Industry Knowledge
- Interpersonal Relationship Management
- Product Services
- Risk Management
- Strategic Thinking
Desired Qualifications
- Juris Doctor (JD)
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.