Control Room Group Manager

Control Room Group Manager

Requirements

• Possess a minimum of 10 years of securities industry experience at full-service financial institutions and a minimum of 5 years of working in a Control Room environment
• Subject matter expert in Conflicts of Interest and/or Control Room compliance
• Self-motivated, well organized, and detail-oriented so as to handle complex and concurrent assignments
• High degree of integrity, strong work ethic, and an ability to work independently while leading a team of compliance professionals
• Problem-solving skills, with a strong analytical and data-driven work style
• Communication skills and the ability to influence all levels of management and external partners
• Bachelor’s degree in a related field or equivalent years of experience (required)

Responsibilities

• Design, develop, execute and oversee an effective COI Program by enabling the identification, operationalization, and communication of applicable federal and state regulations regarding COI
• Foster an understanding of associated COI risks across the entire organization and implementation of suitable risk mitigation strategies
• Identify and oversee the Control Room which consists of investment banking deals, MNPI mitigation, Watch and Restricted Lists, acting as a resource for research COI mitigation including required chaperoning of research analyst interaction with investment bankers
• Act as a trusted advisor and primary COI subject matter expert to/for internal and external stakeholders
• Provide guidance to the relevant business (1LOD) and independent risk management (2LOD) concerning suggested policies, procedures, practices and controls
• Manage a 2-4 person team of subject matter experts
• Drive and influence compliance enhancements at all levels of the business consistent with the enterprise’s risk profile
• Act as a key liaison during regulatory exams, internal audits, and 2LOD testing
• Assist in the execution of and act as key advisor for the firm’s Regulatory Compliance Risk Assessments
• Design and deliver management reporting on KRIs, KPIs, and any significant developments within the COI Program
• Prepare and deliver FINRA Firm Element Continuing Education training
• Maintain knowledge of applicable rule changes and latest industry guidelines and best practices
• Manage departmental expenses and annual budget
• Recruit, train, and retain talent within the department
• Demonstrate sound judgement and leadership in a fast-paced, dynamic, collaborative, and transformative environment
• Manage and execute multiple complex projects within the required timelines

Preferred Qualifications

• An advanced degree in a related field (e.g., law, business or accounting) (preferred)
• Hold applicable industry licenses (Series 7, 63, 24, 16) and certifications (CRCM, CRCP, CFA) (preferred)