Vice President, Corporate & Investment Banking
About the Company
Globally-recognized banking group
Industry
Banking
Type
Privately Held
Founded
1857
Employees
10,001+
Categories
Specialties
Business Classifications
About the Role
The Company is seeking a VP, Control Room Officer for its Corporate and Investment Banking division. The successful candidate will be responsible for maintaining and administering the firm's Watch/Grey Lists and Restricted List to prevent and detect insider trading and manage conflicts of interest. This role involves working closely with the US Head of the Control Room to ensure the development and maintenance of an effective compliance program that addresses regulatory and global requirements. The VP will also be involved in the transactional conflicts clearance process, reviewing research for related concerns, and chaperoning communications to identify and manage potential conflicts of interest. Applicants must have a minimum of 9 years' work experience, with at least 7 years in compliance, legal, regulatory, or financial services, and hold a Bachelor's degree in a related field. The role requires the ability to prioritize and manage multiple tasks in a high-pressure environment, maintain confidentiality, and handle conflict resolution. The VP will be a key advisor on information barriers, wall crossing procedures, and conflicts of interest, and will conduct training on related compliance and regulatory topics. Strong communication skills, the ability to build relationships at all organizational levels, and a proactive approach to driving issues to closure are essential. The candidate should also be able to contribute to global control room initiatives and technology enhancements.
Hiring Manager Title
Executive Director of Corporate & Investment Banking
Travel Percent
Less than 10%
Functions
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