Assistant Vice President of Control Room
About the Company
Prestigious investment bank
Industry
Investment Banking
Type
Privately Held, VC-backed
About the Role
The Company is seeking an Assistant Vice President for its Control Room. The successful candidate will be responsible for the maintenance of the firm's watch and restricted list, as well as the review and clearance of research for publication. This role also involves monitoring changes in securities regulations and implementing or updating relevant policies and procedures. The ideal candidate should be prepared to be flexible with their workday, including maintaining access to work email and providing regular weekend coverage. Applicants for the Assistant Vice President position in the Control Room should have a background in trade surveillance or examinations and be interested in transitioning into this role. The company is currently operating in a hybrid model, with a requirement of 3 days in the office. The role is pivotal in ensuring compliance with regulatory standards and internal policies, and the candidate must be detail-oriented and proactive in their approach to maintaining the firm's control processes. A strong understanding of securities regulations and the ability to adapt to changes in a dynamic environment is essential.
Travel Percent
Less than 10%
Functions
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