My client, a leading global advisory business, are recruiting for a Control Room Associate to join their team. The newly-established Control Room is mainly responsible for managing the Chinese walls and the communication between Global Advisory and Research. Control Room sits within the London Compliance.
- Developing Control Room policies and procedures
- Delivering training and guidance to other Compliance colleagues and the business.
- Providing ongoing advice and guidance to the business in terms of adhering to the newly created communication rules of engagement and chaperoning as/when required
- Chaperoning communications between equity research and banking personnel
- Liaising with the Takeover Panel as required
- Ensuring appropriate and timely review of independent investment research prior to publishing
- Maintenance of the Watch, Grey and Restricted Lists
- Coordinating and approving wall crossings
- Advising on matters relating to the publishing of research arising from the US Securities Rules (including analysis of safe harbours for research), Takeover Panel research restrictions, and FCA COBS rules.
- Advising Research and Wealth Management on matters relating to the Restricted List
- Leading and participating in compliance projects and initiatives.
- Liaison with overseas offices on cross-border issues.
Experience and Competencies required
- Experience commensurate with a mid / senior role, gained within the Control Room or Investment Banking or Research Compliance departments of an investment bank.
- Knowledge and understanding in relation to the US Securities Rules and safe harbours applicable to research production, the UK Takeover Code, the Market Abuse Regime and rules and principles relating to the independence of research.