Summary

This is a compliance control group role covering research and investment banking activities across EMEA. The associate/director (AVP-equivalent) will maintain information barriers, advise on regulatory requirements, and support surveillance and controls, with shift-based coverage from 7am to 7pm and some weekend coverage as required.

Responsibilities

• Maintain firm watch and restricted lists
• Document wall crossings and issue required notifications
• Review research against watch and restricted lists
• Chaperone permitted communications between research and private-side teams
• Pre-clear employee trades for covered staff
• Advise business units on policies and securities laws
• Update procedures and strengthen control group oversight