Job Description

This role provides the successful candidate for both hands-on exposure and responsibility for the delivery of core Control Room functions at the Bank with the opportunity to manage regional Control Room personnel to ensure consistent, timely and effective delivery of a global Control Room program. The selected candidate will amongst other things be required to actively participate in conflict clearance processes, maintenance of global watch and restricted lists, barrier crossing procedure, review of research reports, and chaperoning as part of a global team of Control Room professionals. The successful candidate will have opportunity to work closely with compliance advisory teams as well as other global Control Room personnel particularly regarding controls relating to material non-public information and managing certain conflicts of interests that may present within the Bank`s corporate & investment banking and research businesses.

Is this role right for you?

* Talent development and performance management of direct report(s) as well as facilitating knowledge sharing with other Global Control Room personnel to facilitate knowledge sharing and personal development across the team
* Responsibility for conflict clearance processes including the management and resolution where potential conflicts are identified
* Responsibility for all aspects of global lists management (watch and restricted lists) supporting global Control Room colleagues within a rotating coverage model (this includes the additional, remove and updating of lists in a timely manner)
* Work collaboratively with the Research Supervisory Analyst team to review and provide advice on potential conflicts created through research activities
* Conduct chaperoning of email, voice and in person communications between Banking and Research personnel
* Maintenance of certain research conflict disclosures
* Coordinating barrier crossing requests and maintenance of barrier status lists
* Provide advice to front office personnel regarding Restricted List
* Assist in regulatory requests as they relate to the Control Room
* Support monitoring and surveillance programs as relates to the global lists
* Provide support to the securities aggregation component of the Control Room
* Assist in the development of KRIs and KPIs as relates to the Control Room
* Provide support to the corporate & investment banking advisory Compliance team as relates to bank policies and procedures, regulatory requirements and industry best practice
* Work with Advisory Compliance teams to provide Control Room related compliance training to various business areas
* Assist in the development of internal policies and procedures to enhance the effectiveness of the Control Room program delivery and reflect changes in regulatory requirements
* If needed, contribute to the delivery and successful implementation of new technology by facilitating and performing end user testing, data validation and normalization, and create end user procedures
* Work collaboratively with local and global Compliance teams including working closely with and sharing information with global Control Room colleagues

Do you have the skills that will enable you to succeed in this role? - We'd love to work with you if:

* A minimum of 6-8 years of relevant compliance, control room and/or corporate & investment banking compliance experience
* Good understanding of applicable international securities rules and regulations relating to research, investment banking and securities underwriting
* Outstanding written and spoken communication abilities with ability to influence effectively
* Excellent teamwork, interpersonal and conflict resolution skills
* Highly organized and capable of dealing with complex projects and juggling multiple priorities
* BA or international equivalent. JD desired but not required.
* Securities licenses, e.g., Series 7 preferred, but not required
* Strong computer skills i.e. Microsoft package