Control Room Associate

Our client is seeking a conscientious Control Room Associate to join its esteemed Compliance division. This appointment presents an unparalleled opportunity for you to contribute meaningfully to the maintenance of the highest standards of regulatory compliance and ethical integrity across a sophisticated, international platform. In the capacity of Control Room Associate, you will assume a central role in administering information barriers and managing conflicts of interest.

Key Responsibilities:
In the role of Control Room Associate, you will be immersed in the daily functions of a highly respected compliance operation within a preeminent global asset manager. Your principal focus will be on safeguarding the sanctity of sensitive information through the diligent administration of control room processes designed to prevent conflicts of interest. You will work collaboratively with colleagues across legal, compliance, business units, as well as external partners to ensure that all regulatory obligations are fulfilled with precision. Your remit will encompass maintaining critical lists such as watch lists and restricted lists; offering expert guidance on information barriers; supporting policy development; managing escalations; coordinating with stakeholders; monitoring key meetings; implementing temporary controls; and processing trade requests. To excel in this position requires exemplary organizational acumen, meticulous attention to detail, superior communication skills, and an earnest dedication to fostering transparency within financial services.

• Identify, escalate, and manage conflicts of interest across regional and global groups to ensure adherence to all pertinent regulatory requirements.
• Oversee the implementation, communication, and ongoing maintenance of watch lists and restricted lists throughout the organization.
• Administer and enforce information barriers by processing wall-cross requests and conducting associated electronic communications surveillance.
• Assist in formulating policies and systems for the comprehensive administration of control room activities and conflict matters across all business units.
• Advise various business groups on information barrier considerations related to new products, initiatives, space sharing arrangements, and technology access protocols.
• Handle escalations arising from personal trading activities, private investments, and external business activity requests with discretion and sensitivity.
• Coordinate closely with external legal counsel, deal professionals, legal teams, and compliance colleagues to identify potential conflicts and implement effective mitigation strategies.
• Monitor investment review committee meetings to ensure strict adherence to internal controls regarding confidential information.
• Implement, monitor, and dismantle temporary information barriers as necessitated by specific projects or transactions.
• Review and process trade requests submitted by employees in accordance with established compliance procedures.

Key Requirements:
To flourish as a Control Room Associate within this distinguished organization, you will possess demonstrable expertise acquired through several years’ service in compliance or control room roles at leading financial institutions. Your background should reflect direct involvement in managing sensitive information flows, resolving potential conflicts ethically, advising on policy matters, supporting regulatory audits or reviews, and collaborating across departments. Beyond technical proficiency in compliance frameworks pertinent to asset management or investment banking environments, your interpersonal strengths—such as empathy, dependability, responsiveness, and sensitivity regarding confidential matters—will distinguish you further. Your ability to communicate complex requirements ensures mutual understanding among diverse stakeholders. A commitment to continuous improvement means you proactively seek opportunities for process enhancement while nurturing positive relationships throughout the organization.

• A minimum of four to five years’ relevant professional experience in compliance or allied fields within financial services is essential for this appointment.
• At least two years’ prior experience specifically within a control room or analogous environment is required for success in this role.
• Exceptional organizational abilities, enabling you to manage multiple priorities whilst maintaining accuracy under pressure, are indispensable.
• Superior written and verbal communication skills are necessary for effective interaction with senior management and cross-functional teams.
• Demonstrated negotiation skills, facilitating collaborative resolution of complex issues, are highly regarded.
• Proven project management experience with a record of delivering successful initiatives within prescribed timelines is important.
• Experience managing conflicts of interest in regulated environments is vital for upholding ethical business conduct.
• • A pragmatic approach to risk assessment combined with commercial awareness enables you to achieve desired outcomes without compromising compliance standards.
• The capacity to work independently whilst also collaborating seamlessly with international colleagues ensures consistent coverage across time zones.
• Familiarity with developing or enhancing policies related to control room functions adds significant value.

What sets this company apart:

• This global asset management institution distinguishes itself not only through its considerable scale but also through its unwavering commitment to cultivating an inclusive workplace where every perspective is esteemed.

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