EMEA Head of Control Room

TOP TIER IB ARE RECRUITING FOR A HEAD OF CONTROL ROOM

Core Responsibilities Include:
- You will be leader of the EMEA Compliance Control Room team, which forms part of the Control Room network which has the prime responsibility for maintaining the Investment Bank's Information Barriers and Global Grey and Restricted Lists.
- The global Control Room network is extensive with offices in the U.S., Australia, Japan, Hong Kong, U.K. and Switzerland, all operating under a similar global framework of policies and procedures.
- You will be expected to be expert in the core responsibilities of Research and Control Room Compliance, including: Information Barriers, the use and impact of the Grey and Restricted Lists, setting sales, trading and research restrictions; Research clearance, disclosures and independence issues.
- This requires having close contacts with all functions within the bank, holding or originating Sensitive Information as well being able to provide accurate and timely advice on items from information barrier crossings through to different types of trading restrictions.
- The team works closely with Research Product Management and Supervisory Analyst teams in the review, analysis and resolution of conflicts and questions arising from our research product as well as assisting both Research and IBD personnel in relation to IBD/Research interaction issues.
- The core Control Room works closely with the IBD, Research, GCM, Equities and FICC Compliance Advisory teams to provide accurate and consistent advice to their respective business areas, across a range of regulatory and reputational issues.



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