Sr. Compliance Control Group Officer

About the position

The Senior Compliance Control Group Officer is a subject matter expert within the Compliance group supporting Investment Banking and Capital Markets (IBCM). This role serves as the initial point of contact for providing advice and guidance related to Information Barrier Controls and the flow of material non-public information (MNPI). The position requires the candidate to work in-office 4-5 days a week, and if FINRA licensed, to work in-office 5 days a week. The role is based in Charlotte, NC, Atlanta, GA, or New York, NY. The ideal candidate will assess the materiality of banking opportunities, maintain Watch/Restricted and Wall Crossing Lists, review and approve research reports, and chaperone communications between Equity Research and Investment Banking. The candidate should have in-depth knowledge of SEC Rules and experience working in a Compliance Control Room, providing guidance in time-critical situations. Additionally, the officer will review activities for preclearance, including personal trades, outside business activities, private investments, and political contribution requests.

Responsibilities

• Provide advice and guidance related to Information Barrier Controls and MNPI flow.
• Assess materiality of banking opportunities and maintain Watch/Restricted and Wall Crossing Lists.
• Review and approve research reports prior to public dissemination.
• Chaperone electronic and telephonic communications between Equity Research and Investment Banking.
• Review activities for preclearance including personal trades, outside business activities, private investments, and political contributions.

Requirements

• Bachelor's degree in Business, Economics, Finance, or Accounting, or equivalent experience.
• Ten years of financial institution experience.
• Eight years of direct experience in compliance.
• Advanced knowledge and expertise in compliance and financial services.
• Experience with regulatory agencies and compliance requirements.
• Solid understanding of risk management processes and risk analysis.
• Strong verbal and written communication skills.

Nice-to-haves

• College degree with 7 years of relevant experience in regulatory compliance.
• Analytical and problem-solving skills.
• Effective presentation and facilitation skills.
• Ability to perform multiple tasks in a fluid environment.
• Experience in investment banking compliance and/or research compliance.
• Institutional Broker-Dealer compliance experience.
• Control Room experience, research clearance, and compliance monitoring experience.

Benefits

• Medical, dental, and vision insurance
• Life insurance
• Disability insurance
• Accidental death and dismemberment insurance
• Tax-preferred savings accounts
• 401k plan
• Vacation days (minimum of 10 days)
• Sick days (minimum of 10 days)
• Paid holidays
• Defined benefit pension plan (depending on position)
• Restricted stock units and/or deferred compensation plan (depending on position)