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Control Room Compliance Officer – Associate
mid · Risk & Compliance
Protecting market integrity starts with strong controls and clear guidance. You’ll join a team that helps safeguard information barriers and supports responsible business activity. You’ll build expertise at the intersection of investment banking and equity research while partnering with stakeholders across the region and globally. We’ll support your growth through exposure to complex, time-sensitive matters and continuous learning. Your judgment and attention to detail will help reduce risk and strengthen trust.
As a Control Room Compliance Officer (Associate) within Compliance, Conduct and Operational Risk, you help maintain effective information barriers and manage conflicts and non-public information risk. You will support the review of investment banking transactions and equity research activity from a compliance and operational risk perspective. You’ll advise stakeholders on permissible interactions and escalation paths, balancing responsiveness with sound risk judgment. You’ll collaborate with global Control Room teams and regional partners to apply consistent processes and manage emerging risks. You’ll work closely with Investment Banking, Equity Research, Sales and Trading, and Asset Management to support appropriate information flow and well-documented decisions. The team partners across regions to strengthen consistency, continuous improvement, and practical risk management. You’ll contribute to training, procedure enhancements, and effective stakeholder engagement.
Job responsibilities
- Maintain and monitor the firm's information barriers / barrier crossings / flow of non-public information
- Pre-clearing permitted communication between Investment Banking and Equity Research
- Interact with the Banking, Sales and Trading, and Asset Management teams to ensure the Firm’s Watch and Restricted lists are properly maintained
- Review Research publications to ensure compliance with legal and regulatory obligations
- Work proactively with other Control Room teams in the US and EMEA to create a cohesive global Control Room team operating model and applying consistent policies and procedures
- Participate in the conduct of internal and external enquiries and investigations as necessary
- Participate in policies and procedures updates, providing training to various business in specific areas of expertise
Required qualifications, capabilities, and skills
- Minimum 4 years of experience in Compliance, Risk, or related controls function
- Strong attention to detail with solid administrative skills and an analytical approach to problem solving
- Ability to meet tight deadlines and to make quick and reasoned decisions under pressure
- Strong interpersonal skills with a highly motivated and organised approach to work
- Ability to work effectively as a team player and operate under own initiative
- Awareness of regulatory and internal control requirements, particularly in relation to effective information barrier arrangements