Compliance Officer


Milwaukee, WI

Industry: Financial Services


Less than 5 years

Posted 269 days ago

  by    Jack Kelly

This job is no longer available.

Diversified Financial Services Firm is seeking Compliance Officer. The Control Room is primarily responsible for preserving the integrity of the firm?s information barriers by monitoring and controlling the flow of material nonpublic and confidential information between departments, allowing Associates to conduct their business activities in ordinary course.

The Control Room Compliance Officer will be primarily responsible for the day to day operations of the Control Room including interacting with and supporting the Research and Investment Banking Departments, maintaining the information barrier compliance program, developing and maintaining a working understanding of all applicable laws and regulations, identifying and addressing conflicts of interest, creating, updating, and enforcing written policies and procedures and generally maintaining high ethical standards.


1. Interact regularly with Research and Investment Banking business partners and provide interpretive guidance as to the application of complex securities regulations related to their various business initiatives.

2. Research, analyze, and apply existing, proposed and new rules and regulations to business practices and develop and enforce policies and procedures as applicable.

3. Maintain the Firm?s information barriers and conduct surveillance of activities in relation to the Firm?s Watch and Restricted Lists.

4. Review equity research reports to ensure compliance with various legal and regulatory obligations.

5. Develop and draft responses to regulatory inquiries.

6. Create, update, and enforce policies and procedures and associated training materials.

7. Deliver presentations related to compliance matters to large and small groups.

8. Execute on these and other assigned duties and responsibilities.


?3-5years of Control Room experience, relevant experiencewith a broker-dealer or investment bank, or relevant experience working for a regulatory authority in the financial industry.

? Possess a general understanding of the current regulatory environment and relevant rules and regulations, including: SEC Regulation M; SEC Rules 137, 138, 139, 144, and 144A; and FINRA Rules 2241 and 2242.

?Bachelor?s degree, advanced degree a plus.

? Self-confidence with the ability to effectively communicate verbally and in writing withassociates at all levels of the organization.

? Detail-oriented with a track-record of consistently producing high quality product.

? Proactive, determined, with a strong work ethic.

? Must hold, or obtain within 12months of hire, the Series 7 and 24 licenses.

? Must be willing to travel (up to 10%).

Please email resumes to .

$100K - $130K