Control Room Compliance Officer

Job Purpose:

BTIG seeks a Control Room Compliance offer to join its growing Compliance team in the San Francisco or New York office. Working as part of the Control Room team, this individual will be responsible for performing Control Room advisory and monitoring tasks.

Duties & Responsibilities:

• Reviewing and resolving draft research report watch list escalations from Research Principals (Supervisory Analysts), Day-to-day review and clearance of research publications in compliance with research rules (e. g., Jobs Act, Rule 138/139, FINRA Rule 2241)
• Chaperoning communications Investment Banking/ECM and Research
• Maintaining the Watch List and Restricted Lists
• Monitoring information barriers and use of material non-public information
• Advising on and recording Wall Crossings and perform surveillance
• Identifying and resolving escalations regarding Watch and Restricted List trade surveillance
• Work with US Compliance personnel and BTIG Affiliates to ensure consistency when needed
• Maintaining accurate and up-to-date research disclosures on reports and the websites
• Personal Trade Review and Clearance for Research, Investment Banking, and Equity Capital Markets Personnel
• Providing timely and consistent guidance to investment banking, Equity Capital Markets, and Equity Research personnel

Requirements & Qualifications:

• 1-2 years of relevant experience working in a Control Room and/or Research Compliance department at a US broker dealer
• Detail-oriented with ability to multitask, organize and prioritize
• Ability to work as a member of a team in a fast-paced environment.
• Strong knowledge of FINRA rules and regulations
• Ability and confidence to interact with various BTIG personnel including management
• Ability to analyze complex situations and provide guidance in time sensitive situations
• Strong verbal and written communication skills
• Ability to work independently with deadlines with minimal supervision as well as within a team environment

Important Notes:

• Must be authorized to work full time in the U.S., BTIG does not offer sponsorship for work visas of any type
• No phone calls please, the applicant will be contacted within two weeks if successful

About BTIG:

BTIG is a global financial services firm specializing in institutional trading, investment banking, research and related brokerage services. With an extensive global footprint and more than 700 employees, BTIG, LLC and its affiliates operate out of 19 cities throughout the U.S., and in Europe, Asia and Australia. BTIG offers execution, expertise and insights for equities, equity derivatives, ETFs and fixed income, currency and commodities (futures, commodities, foreign exchange, interest rates, credit, and convertible and preferred securities). The firm’s core capabilities include global execution, portfolio, electronic and outsource trading, transition management, investment banking, prime brokerage, capital introduction, corporate access, research and strategy, commission management and more. https://www.btig.com/Disclosures.aspx
 
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, or disability status. BTIG is an equal opportunity employer Minorities/Females/People with Disabilities/Protected Veterans/Sexual Orientation/Gender Identity.
 
Disclaimer: https://www.btig.com/disclaimer.aspx