Compliance Control Room Specialist - AVP

Job Description Purpose of the role To manage Legal, Regulatory and Reputational Risk across all lines of business. This involves business critical functions in respect of key controls to manage Market Abuse and potential Conflicts of Interest via Information Barriers, Regulatory Insider Lists together with the ongoing operational management of the Watch List and Restricted Lists. Accountabilities Evaluation of controls related to various banking activities, such advisory services provided in relation to Information Barrier Controls and the flow of MNPI. The critical review is the trigger point to instigate downstream controls within Monitoring and Surveillance and the necessity to implement Research Conflicts Clearance per the requirements under US Securities law.…