VP Compliance, Securities Control Room Jobs in New York City, NY at The Peak Organization Inc

VP Compliance, Securities Control Room

Our client, a leading Financial Services Firm is seeking an experienced compliance professional to supervise its Securities Control Room. This function is responsible for the execution of all control room activities to prevent conflicts of interest and the misuse of confidential information.?

The candidate will be responsible for managing a staff of securities trade monitoring compliance associates that administer the Policy for Securities Trading and associated procedures. Key responsibilities include onboarding new hires, reviewing employee holdings, pre-clearing securities transactions, maintaining account information and assisting employees divest securities if required.

Additional managerial responsibilities for this position:

Assume the role of ‘subject matter expert’ for the Policy for Securities Trading.

Manage securities trade monitoring systems, processes and data gathering.

Work with rating team senior managers to update restricted lists that prohibit employees from owning or trading securities related to their line of business.

Work with the business and Human Resources to ensure that the pre-hire and onboarding processes function efficiently.

Develop quarterly reports summarizing statistics and key observations that are used to measure staff effectiveness and update senior Compliance managers on the unit’s activities.

Maintain employee information relevant to the Securities Trading Policy (e.g., trading classification, restricted lists and exempt securities).

Consult with Business Unit Compliance Officers to provide guidance to the business lines on securities related issues.

Analyze business processes and eliminate or minimize the risk of breaches of regulatory requirements related to employee securities trading.

Execute securities related monitoring of employee trades for the Compliance Surveillance Unit.

Assist the Compliance Investigation Unit on securities related matters that require additional review.

Support the Compliance Training Unit develop securities related training and outreach.


Minimum of 10 years of experience in managing well-controlled securities trading monitoring systems and control room processes.

Advanced knowledge in conflict management, information walls, market abuse, insider dealing, investment research and regulatory disclosure obligations.

Deep understanding of securities (e.g., global equities, bonds and mutual funds).

In depth knowledge of Bloomberg and compliance monitoring tools such as SunGard’s Protegent PTA.

Proven ability to work well with all levels of the organization from administrative ranks to senior management.

Highly organized with the ability to multi-task, focus on details and meet tight deadlines.

Strong written and verbal communication skills.

Excellent time management skills.

For immediate consideration, please submit your resume to Kyle Marszalek at **********@peakaudit.com.

Title: VP Compliance, Securities Control Room

Company: The Peak Organization Inc

Location: New York City, NY



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