Control Room Compliance Associate

Our client is seeking a Control Room Compliance Associate to join a highly respected financial services institution with a distinguished national presence. As a valued member of an erudite and supportive compliance team, you will play a pivotal role in upholding rigorous regulatory standards while providing essential support to brokers and traders across the United States.

Key Responsibilities:
In the capacity of Control Room Compliance Associate, you will be immersed in the daily operations of a sophisticated compliance department dedicated to upholding the highest standards of probity within the financial services sector. Your remit will encompass updating critical registers that safeguard against regulatory infractions, conducting thorough reviews of trades and research materials, and collaborating closely with colleagues across multiple locations. You will be entrusted with managing sensitive information discreetly, responding promptly to regulatory requests, and contributing constructively to team initiatives. This role offers an exemplary platform for you to apply your expertise in compliance while acquiring new competencies through practical experience and structured training programs.

• Maintain and systematically update the organization’s Restricted and Watch List to ensure scrupulous adherence to all pertinent regulations and internal protocols.
• Assist with daily trade review and surveillance activities by diligently monitoring transactions for any potential anomalies or irregularities.
• Clear research reports expeditiously while ensuring full compliance with industry standards and regulatory mandates.
• Review and preclear employee personal trade requests in strict accordance with established procedures to mitigate conflicts of interest.
• Conduct enhanced due diligence on prospective clients by gathering requisite information and evaluating risk factors before onboarding.
• Prepare written correspondence in response to regulatory inquiries, demonstrating utmost professionalism and precision at all times.
• Support various testing initiatives related to supervisory policies and procedures by actively participating in audits and assessments.
• Prepare, organize, and file requisite documentation with meticulous attention to detail in order to maintain accurate records for compliance purposes.
• Perform additional duties as assigned by management so as to support the overall efficacy of the compliance function.

Key Requirements:
To excel as a Control Room Compliance Associate, you will contribute demonstrable experience from within the brokerage or broader financial services sector—ideally having operated directly within compliance functions where regulatory acumen is paramount. Your academic credentials will underpin your comprehension of complex financial instruments, whilst your practical background ensures adept navigation of both routine assignments and unforeseen contingencies. You will exhibit refined interpersonal skills when collaborating across departments or responding thoughtfully to external queries. Your facility with standard office software enables precise handling of voluminous data whilst maintaining impeccable records. Above all, your steadfast commitment to ethical conduct, reliability under pressure, enthusiasm for ongoing learning, and ability to thrive within a team-oriented culture will distinguish you.

• A bachelor’s degree in Finance, Business, Economics or a cognate discipline is preferred for this appointment.
• Two to five years of experience within the brokerage industry or prior exposure in a compliance-oriented role is highly desirable.
• Possession of Securities Industry Essentials (SIE) certification, together with Series 7 qualification, would be advantageous, though not obligatory.
• Demonstrated knowledge of capital markets or asset management industry practices is expected for effective performance in this role.
• At least two years’ experience clearing research reports is required for consideration.
• Excellent communication skills are essential for engaging effectively with internal teams as well as external regulators.
• Meticulous attention to detail combined with composure under pressure in rapidly evolving environments is indispensable.
• Proficiency in MS Word, Excel, PowerPoint, and Outlook is required for efficient management of documentation and reporting responsibilities.
• Ability to organize and prioritize workload independently without direct supervision is important for consistently meeting deadlines.
• A proactive disposition coupled with eagerness to assimilate new concepts swiftly and adapt flexibly to emerging challenges will enable you to flourish.

What sets this company apart:

• This institution distinguishes itself as a paragon within the investment banking sector by offering its employees not only meaningful professional engagement but also unwavering support throughout their careers.

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