Base pay range

$170,000.00/yr - $190,000.00/yr

A $150 billion asset management firm, looking to bring on board a “Director - Control Room” to join their broker dealer in San Francisco. This firm is operating in a hybrid capacity (4 days in office). If you are interested or have any questions, please email at avuceljic@madisondavis.com.

Responsibilities

• Maintenance of the Firm’s watch and restricted lists.
• Conduct conflict searches for relevant activity across all business units and affiliated entities.
• Review research reports, market commentary, public appearances and non-deal roadshow requests and handle watch and restricted list considerations.
• Process and manage ‘wall-crossing’ requests.
• Assist in preparing responses to FINRA underwriter questionnaires.
• Information barrier monitoring and watch and restricted list trade surveillance.
• Provide advice on and monitor interactions and communications between Research and Investment Banking, including chaperoning calls/meetings between Investment Banking and Research.
• Develop and maintain a strong relationship between Compliance and business unit professionals through effective communication.
• Rotational weekend coverage.

Seniority level

• Mid-Senior level

Employment type

• Full-time

Job function

• Finance

Industries

• Financial Services and Banking

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