Overview

Our client is a growing private equity spin-off, boutique global advisory focused investment bank.

Responsibilities:

  • Implement Control Room and Conflict of Interest procedures, manage and escalate matters
    where necessary, and work independently to address and remediate identified risk factors
  •  Ensure maintenance of the firm’s Watch and Restricted Lists
  •  Conduct conflict clearance and escalation processes
  • Assist in the development of tailored transactional compliance advice for the business lines
  • Execute on instructions received from Sr. Compliance Officers and the Chief Compliance Officer
    independently and in a timely manner
  • Assist the Chief Compliance Officer in matters related to regulatory examinations, independent
    testing and audits
  • Work proactively with other Compliance team members to create a cohesive unit operating
    consistent policies and procedures
  • Assist in the development and delivery of training to the business lines on matters related to
    information barriers and conflicts of interest

Qualifications:

  • Must have knowledge of securities as well as regulation and internal control requirements
  • 5-7 years of experience as a Control Room Officer
  • Ability to work under pressure and adapt quickly
  • Excellent written and verbal communication skills
  • Excellent interpersonal skills

For immediate and completely confidential consideration, please click on the following link: http://www.hudsongatepartners.com/apply.html or send a resume to jobs@hudsongatepartners.com