We are seeking a highly motivated and experienced Control Room Officer to support the execution and ongoing development of our Control Room function. This role is critical to maintaining the integrity of our information barriers, managing material non-public information (MNPI), and ensuring regulatory compliance across all business lines.
The successful candidate will play a key role in managing the firm’s restricted and watch lists, employee personal account dealings, wall crossing procedures, and conflict of interest controls. This is an excellent opportunity for a compliance professional with strong analytical skills and regulatory awareness to contribute to a fast-growing, innovative financial services environment.

REQUIREMENTS

• 5–7 years of experience in a Control Room environment.
• Strong analytical skills and ability to synthesize information.
• Excellent written and oral communication skills.
• Proven ability to work in a fast-paced, high-pressure environment.
• Strong organizational and multitasking skills with attention to detail.
• Knowledge of securities regulations, insider trading rules, and information barrier requirements.
• Experience with financial markets and investment banking operations.
• Demonstrated ability to build cross-functional partnerships.
• Knowledge of information barriers and wall crossing procedures.
• High level of ethics, integrity, and judgment.
• Proactive, accountable, and solutions-oriented mindset.

Control Room Operations

• Mature and execute the control room function and strategy.
• Assess current controls and recommend improvements, including potential vendor tools.
• Create and maintain restricted and watch lists.
• Review employee activity and disclosures.
• Track transactions and ensure timely application of restrictions.
• Manage sensitive information, conflicts of interest, and surveillance of MNPI.
• Track deal activity and implement timely trading restrictions and information barriers.

Regulatory and Internal Compliance

• Ensure policies and procedures comply with regulatory requirements.
• Support investigations and regulatory inquiries related to MNPI misuse or policy breaches.
• Maintain auditable records to support internal and external reviews.
• Stay informed on regulatory developments and industry best practices.
• Educate stakeholders and provide guidance on Control Room policies.
• Collaborate with Legal, Compliance, HR, and business teams to manage information flows.