Compliance Professional - The Control Room

Job Summary & Responsibilities:

The Bengaluru Control Room is one of seven Control Rooms globally (including Jersey City, Salt Lake City, London, Hong Kong, Tokyo and Sydney). The Control Room is primarily responsible for preserving the integrity of the Firms information barriers by monitoring and controlling the flow of confidential information between the Firms advisory side businesses (e.g., Investment Banking and Merchant Banking) and public side businesses (e.g., Sales, Trading, Research, and Investment Management).

Principal Responsibilities:

- Interacting with the Investment Banking, Merchant Banking, Securities, and Asset Management Divisions in order to maintain the Firm's Confidential Lists

- Reviewing research published by the Global Investment Research Division to ensure compliance with certain legal and regulatory obligations

- Liaising with Legal and other areas of Compliance in order to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations

- Applying the Research Settlement rules to facilitate communications between Equity Research and Investment Banking personnel

- Working with the Conflicts & Business Selection Group to facilitate approval for certain Firm and client transactions and subsequent risk management activities

Basic Qualifications:

- College or law school graduate with compliance or legal-related experience in financial services preferred

- Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules

- Excellent verbal and written communication skills

- Proactive and willing to take on issues/responsibilities that require focus and determination

- Ability to work as a member of a team in a high-pressure, fast-paced environment

- Detail-oriented with ability to multitask, organize and prioritize