Description
Summary
The Global Control Room (GCR) has a business-critical role to mitigate legal, compliance and reputational risk within the firm and is responsible for managing the flow of Material Non-Public Information between public and private lines of business within Global Banking, Global Markets & International.
GCR also plays a key role in assisting lines of business in implementing, monitoring, testing and enforcing the Enterprise Information Wall Policy.
This position is part of the Americas Control Room covering US, Canada, and Latin America.
Responsibilities of the role include but are not limited to :
Review Investment Banking ( IB ) transactions for potential addition(s) to the Watch List and / or Restricted List. Follow up with IB to receive deal updates.
Review of Global Research reports prior to public dissemination against the Watch or Restricted List in accordance with Laws, Rules, and Regulations.
Provide Global Markets principal / firm trade preclearance on restricted list issuers.
Provide information wall subject matter expertise to support all lines of business and support partners.
Manage Wall crossings
Respond to Americas regulatory Inquiries, facilitate meetings with Research Legal and Investment Banking Legal.
Manage day to day Control Room processes.
Provide training and awareness to the lines of business and their support partners on information wall topics.
Contribute to global technology initiatives via idea generation, User Acceptance Testing or working alongside Global Tech and Operations support partners.
Required Qualifications :
Ability to produce accurate work output and reports under tight deadlines
3-5 years professional experience
Bachelor’s degree or equivalent experience
Demonstrates intellectual curiosity and drives operational excellence
Ability to think critically to quickly analyze and resolve issues
Influences and delivers results through collaborative relationship with key partners and stakeholders
Works independently to prioritize work and deliver against regulatory deadlines in a dynamic environment
Ability to demonstrate a high level of integrity with a mature approach to work
Discrete when handling confidential information
Desired Qualifications :
Control Room workflow experience or related knowledge; transferable skills
Diligent work ethic
Effective Communicator; Strong writing and presentation skills
Team player
Task oriented and willing to train junior team members
Shift :
1st shift (United States of America)
Hours Per Week :
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