Job Title: Control Room Compliance Officer Department: Legal & ComplianceReports to: Chief Compliance OfficerLocation: New York or BostonSalary Range: $155,000 - $175,000This individual will act as a Compliance Officer in the control room for an institutionalbrokerage and investment banking firm (the Broker-Dealer or the Firm ) specializing in the healthcare field. The candidate will be primarily responsible for the functions of the control room.
Primary Duties and Responsibilities:- Develop policies, systems and controls for the administration of control room function.
- Implementation, communication and maintenance of firm watch lists and restricted lists.
- Review and clearance of research reports containing watch or restricted list securities.
- Advise business groups on all information barrier issues which may include new business products & initiatives, business unit interactions and technology access.
- Act as gatekeeper for chaperoned calls between IB and Research.
- Identification, escalation and management of conflicts of interests across business units.
- Coordinate the Firm's wall-crossing processes.
- Assist in the enhancement of an effective, robust and efficient compliance program through risk management, monitoring and surveillance of Firm activities.
- Advise and assist business regarding securities rules and regulations and regulatory filings (e.g., Reg M, ATMs).
- Assist with technological upgrades to meet increasing regulatory demands.
- Maintain Firm control room-related procedures and enhance as applicable.
- Respond to real-time inquiries from investment banking, research analysts, technology personnel and management.
- Act as a resource for education and training of Firm personnel regarding research, investment banking and control room topics.
Preferred Experience and Qualifications:- A minimum of 4 to 7 years compliance experience or equivalent; control room experience preferred.
- BA or BS degree required, JD a plus.
- Securities licenses are helpful.
- Familiarity with proprietary and/or third-party control room platforms.
- Strong written and verbal communication skills, including the ability to:
- Effectively and proactively communicate with persons of any professional level.
- Understand, explain and deliver urgent information.
- Skill and experience in identifying regulatory issues and with management reporting.
- Ability to operate under pressure and maintain composure with regard to time sensitive matters.
- Ability to prioritize and handle multiple projects simultaneously.
- Able to take initiative and assume responsibility.
- Strong work ethic and commitment to Firm and Department.
Equal Employment OpportunityLeerink Partners is an equal opportunity employer and is dedicated to expanding its commitments and investments to create a more diverse, equitable and inclusive company culture and innovation ecosystem. We are strongly committed to the values and policy of equal employment opportunity across our employment practices.Actual starting base pay will be determined on skills, experience, and other non-discriminatory factors permitted by law. Total compensation may also include variable incentives, bonuses, benefits, and/or other perks, as outlined in any formal offer made.