KBCM Compliance Control Room
$96,000–$181,000 year
Hybrid · Cleveland, Ohio, United States
Job Summary
Information Barrier & MNPI management, watchlist/restricted list administration, and conflict-of-interest reviews. Serves as liaison across Investment Banking, Capital Markets, Research, and Sales & Trading to ensure compliance with MNPI handling, disclosure requirements, and regulatory rules. Responsible for monitoring wall crossings, maintaining real-time monitoring of deal activity, updating conflicts monitoring systems, supporting surveillance and reporting, conducting regulatory research reviews (FINRA/SEC rules), training partners on information barrier obligations, and assisting with audits and inquiries.
Required Qualifications
- Bachelor's degree in Finance, Business, Economics, Legal Studies, or related field
- 3–7 years of compliance, legal, or control room experience within a broker-dealer, investment bank, or regulatory authority
- Working knowledge of federal securities laws and regulations, including the Securities Act of 1933, the Securities Exchange Act of 1934, and applicable SEC and FINRA rules
- Familiarity with information barrier requirements, MNPI handling, and conflict-of-interest frameworks
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