Control Room - Compliance Officer

The AMER Control Room is a crossline of the business Compliance function that is primarily responsible for providing advice and guidance with respect to policies and procedures reasonably designed to prevent the misuse of Material Non-Public Information (generally known as "MNPI"), and Global Banking and Advisory conflicts of interest.

Responsibilities

• Provide regulatory and Firm compliance advice / guidance on issues with respect to information barriers, investment research and investment banking conflicts of interest typical of a global investment bank.
• Oversee securities laws and related regulations concerning information barriers; develop and implement relevant policies and procedures and deliver training. Maintain up to date knowledge of research-related regulations, industry best practices on conflicts of interest and Control Room operations in this area.
• Manage the day-to-day review and clearance of Firm and affiliate research publications, ensuring compliance with applicable research regulations (e.g., FINRA Rules 2241 and 2242, SEC Rules 137, 138, 139, and Regulation M) and proactively identifying and addressing potential conflicts of interest. Coordinate as necessary with management, Supervisory Analysts, Compliance, and Legal teams.
• Effectively partner with Compliance and Legal teams across the firm, including Investment Banking, Capital Markets, Research (including Bernstein and Autonomous), and Sales and Trading Compliance teams.
• Maintain and update the Firm’s Watch and Restricted Lists.
• Advise and record all wall crossings.
• Chaperone interactions between the Investment Banking Department and the Research Department
• Conduct reviews of Investment Banking transactions for potential conflicts of interest and maintain the conflicts monitoring system. Liaise where necessary with management, Compliance, and Legal teams.
• Collaborate with Compliance teams in Europe and Asia to ensure global consistency in Control Room practices, policies, and procedures.
• Support internal and regulatory inquiries and investigations, providing subject matter expertise and ensuring timely and accurate responses.
• Contribute to the ongoing development and enhancement of Control Room policies, procedures, and technology platforms, identifying opportunities for process improvement and increased efficiency.