Investment bank located in Jacksonville, Florida looking to bring on board an Control Room VP to join their team. The firm is currently in a hybrid model (3 days in office).
Responsibilities :
- Provide Compliance support for the Control Room
- Maintenance of the Firm’s Watch and Restricted List
- Review and clearance of Research for publication
- Provide advice and guidance on legal, regulatory and compliance requirements as they relate to information barriers, conflicts of interest, offering rules, trade restrictions, and research
- Monitor changes in securities regulations and implement or update applicable policies and procedures
- Will need to be flexible on workday including maintaining access to work email and regular weekend coverage
Control Room – VP
Investment bank located in Jacksonville, Florida looking to bring on board an “Control Room – VP” to join their team. Provide Compliance support for the Control Room. ...
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