Compliance, Control Room, Analyst, Birmingham

Our division prevents detects and mitigates compliance regulatory and reputational risk across the firm and helps to strengthen the firms culture of compliance. Compliance accomplishes these through the firms enterprise-wide compliance risk management program. As an independent control function and part of the firms second line of defense Compliance assesses the firms compliance regulatory and reputational risk; monitors for compliance with new or amended laws rules and regulations; designs and implements controls policies procedures and training; conducts independent testing; investigates surveils and monitors for compliance risks and breaches; and leads the firms responses to regulatory examinations audits and inquiries. Youll be part of a team with members from a wide range of academic and professional backgrounds such as law accounting sales and trading. We look for those who possess sound judgment curiosity and are able to adapt to a changing regulatory landscape.

The Control Room part of the Compliance Division is seeking a compliance officer for a role inBirmingham. The Control Room is primarily responsible for preserving the integrity of the Firms information barriers by monitoring and controlling the flow of confidential information between the Firms private/advisory side businesses (e.g. Investment Banking and Capital Markets Finance and Risk) and public side businesses (e.g. Asset Management Private Wealth Management and Global Investment Research). Additionally the Control Room is tasked with staying close to banking transactions to ensure that all legal and policy restrictions are activated in a timely manner as well as advising firm divisions dealing with trading and research as to the applicability of those restrictions.

PRINCIPAL RESPONSIBILITIES:

• Interacting with the Investment Banking and Capital Markets and Asset Management Divisions in order to maintain the Firms Confidential Lists
• Reviewing research published by the Global Investment Research Division to ensure compliance with certain legal and regulatory obligations
• Liaising with Legal and other areas of Compliance in order to monitor and/or restrict sales trading and/or research activities pursuant to certain legal regulatory and/or policy considerations
• Applying the Research Settlement rules to facilitate communications between Equity Research and Investment Banking personnel
• Working with the Conflicts & Business Selection Group to facilitate approval for certain Firm and client transactions and subsequent risk management activities

BASIC QUALIFICATIONS:

• Recent college or law school graduate with up to 2 years of compliance or legal-related experience in financial services preferred
• Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
• Excellent verbal and written communication skills
• Proactive and willing to take on issues/responsibilities that require focus and determination
• Ability to work as a member of a team in a high-pressure fast-paced environment
• Detail-oriented with ability to multitask organize and prioritize