Compliance Officer - Wall Cross & Research
This role will provide senior compliance coverage in relation to handling and preventing the use of material non-public information during the investment decision-making process, with a focus on the due diligence and ongoing surveillance of relationships with research providers, brokers, data providers and/or index providers. Operating in close partnership with the existing Compliance and Legal teams globally, relevant Business Management teams, and the various Portfolio Managers.
Responsibilities
Lead the Firm’s control room program including the management of the Firm’s wall crossing process including the review of public and private investment deals, handling of sensitive information, interacting with the equity management team and other business line management teams.
Lead the management and implementation of the Firm’s Restricted List including the ongoing monitoring and enforcement of the relevant restrictions. In addition, work with various internal teams to drive enhancements to the functionality of the Restricted List and its capabilities interacting with trading applications.
Lead the Firm’s research compliance programs including the initial due diligence and ongoing surveillance of the Firm’s third-party research providers.
Conduct investigations of the inadvertent receipt of improper information including but not limited to material non-public information (MNPI) and personal identifiable information (PII).
General trading surveillance reviews, including focus on potential market manipulation and insider trading
Interact with the business and compliance teams on a daily basis to provide advice and guidance to firm personnel on compliance matters.
Prepare and conduct compliance trainings.
Assist with regulatory examinations, inquiries, investigations and projects, as necessary.
Draft and amend compliance related policies and procedures
Monitor regulatory changes, updates and industry-wide compliance initiatives
Undertake and lead special compliance related projects involving various inter-department stakeholders