A leading global financial services firm is seeking a Vice President or Director, Control Room Operations professional to oversee compliance functions and safeguard the integrity of material non-public information (MNPI). This role plays a critical part in maintaining information barriers, reviewing research, and ensuring compliance with global regulatory standards.
Key Responsibilities
- Maintain and manage the firm's Watch and Restricted Lists, ensuring clear communication with private-side deal teams and internal stakeholders.
- Issue timely Wall Crossing notifications and maintain related documentation in compliance with firm policies.
- Investigate delays in MNPI logging through audits, interviews, and coordination across business lines.
- Review Fixed Income and Equity research to ensure compliance with M&A, regulatory, and internal guidelines.
- Supervise communication between Research and Private Side teams in alignment with Global Research Settlement rules.
- Process and approve employee trade pre-clearance requests, upholding information barrier standards.
Required Skills and Qualifications
Experience:
- 3-5 years in a Control Room, Compliance, or Risk function, with deep understanding of MNPI, regulatory guidelines, and information barriers.
Technical Skills:
- Familiarity with research review, trade surveillance, and compliance workflows.
Soft Skills:
- Exceptional attention to detail and ability to manage competing priorities.
- Strong cross-functional collaboration skills and analytical mindset.
Language Requirements
- Japanese: Fluent
- English: Fluent
Preferred Skills & Qualifications
- High level of integrity, professionalism, and discretion when handling sensitive information.
- Proactive and adaptable mindset with a strong commitment to continuous learning and regulatory excellence.
About the Company
Our client is a prominent global financial services firm, offering investment banking, securities, asset management, and wealth management services to corporate, institutional, and individual clients. The firm is known for its collaborative culture, ethical leadership, and innovation-driven approach in global markets.
Why You'll Love Working Here
- Highly competitive compensation and benefits.
- Exposure to high-impact, cross-border compliance work.
- Collaborative, diverse, and inclusive workplace culture.
- Structured career development and mentorship opportunities.
- Strong focus on employee well-being and professional growth.
Don't Miss Out - Apply Now!
