Control Group Compliance Officer

Control Group Officer

For this role the following backgrounds will also work:

· Research Compliance Officer

· Investment Bank Compliance Officer

· ECM Compliance Officer ( Enterprise Content Management)

· Control Group Officer

Pay rate: 1099/C2C $650- $820 (4-months Military leave)

Location: Hybrid/Manhattan or Jersey City Office

Global leading global, full-service investment banking and capital markets firm that provides advisory, sales and trading, research and wealth and asset management services.

Essential Duties & Responsibilities:

This position is for a Control Group role (which will include Investment Banking or Research Compliance, depending on applicant’s experience):

• Assist and advise on IB and Capital Markets transactions, including conflicts review.
• Maintenance of the Firm’s Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams
• Review Equity Research and FI Strategy notes prior to public dissemination.
• Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies.
• Chaperoning communications between IB and Research.

Required Background & Skills:

Seeking a highly-motivated individual who is willing to actively participate as part of the company’s Compliance team.

The candidate must:

• 3-6+ years relevant Legal or Compliance experience, preferably working in a Control Room, Investment Banking Compliance, or Research Compliance.
• Be able to interpret and apply SEC, FINRA, and other regulatory rules.
• Think analytically and provide advice based on sound judgment.
• Work effectively in a team environment and foster effective relationships.
• Willing to be flexible to cover different shifts and take on ad hoc projects.
• Be able to react in a fast-paced environment, managing a wide variety of requests.
• Be able to work positively and make decisions under time pressure.

Job Type: Contract

Pay: $650.00 - $820.00 per day

Benefits:

• 401(k)
• Dental insurance
• Flexible schedule
• Health insurance
• Life insurance
• Paid time off
• Referral program
• Vision insurance

Schedule:

• 8 hour shift
• Monday to Friday

Experience:

• FINRA: 1 year (Required)
• Investment banking compliance: 3 years (Required)

Ability to Commute:

• Jersey City, NJ 07302 (Required)

Ability to Relocate:

• Jersey City, NJ 07302: Relocate before starting work (Required)

Work Location: Hybrid remote in Jersey City, NJ 07302