Compliance Control Room Senior Associate

Our client is seeking a Senior Compliance Associate to join their team. This role presents an exciting opportunity to implement the global Control Room strategy, ensuring regulatory obligations are met and conflicts of interest are managed effectively. The successful candidate will have the chance to work in a globally focused function with strong career prospects, while contributing to a company that values collaboration, innovation, and inclusion.

Key Responsibilities:
As a Senior Compliance Associate, your role will be pivotal in implementing the global Control Room strategy. You will be responsible for administering firm-wide policies to ensure that regulatory obligations are met and conflicts of interest are managed effectively. Your role will involve regular interaction with senior management and personnel across various departments. You will also oversee the implementation and maintenance of firm watch lists and restricted lists. Your expertise will be crucial in advising business groups on all information barrier issues.

• Implement the global Control Room strategy
• Administer firm-wide policies to ensure regulatory obligations are fulfilled
• Establish and monitor information barriers to prevent misuse of material nonpublic information
• Identify, escalate, and manage conflicts of interest across groups regionally and globally
• Oversee the implementation, communication, and maintenance of firm watch lists and restricted lists
• Advise business groups on all information barrier issues including new business products & initiatives, space sharing, and technology access

Key Requirements:
The ideal candidate for the Senior Compliance Associate position brings a wealth of relevant work experience, including at least 2 years in a control room or similar environment. You possess excellent organizational, communication, and negotiation skills. Your project management experience demonstrates your ability to deliver on initiatives. You have proven experience in managing conflicts of interest and can take a pragmatic approach to risk and compliance while achieving desired outcomes. Your ability to work independently as well as partner with international teams will be key to your success in this role.

• 4-5 years of relevant work experience with a minimum of 2 years prior control room or similar experience
• Excellent organizational, communication, and negotiation skills
• Project management experience with proven ability to deliver on initiatives
• Experience in managing conflicts of interest
• Ability to take a pragmatic, commercial approach to risk and compliance while achieving desired outcomes
• Ability to work independently and partner with international teams

What's next:

If interested in this position, please contact Robert Moseman at +1 332 205 3879 or Robert.Moseman@robertwalters.com