A recognized services firm in New York City is looking to add a new Control Room Specialist to ensure compliance with insider trading regulations and support the team's increased workload.
Responsibilities:
- Implementing effective compliance programs for insider trading and information barriers
- Maintaining firm's information barriers and conducting surveillance
- Performing annual information barrier reviews
- Reviewing alerts for trade surveillance
- Initiating projects through the ISC tool
Qualifications:
- 3+ years of related work experience
- Bachelor's Degree in applicable field or equivalent experience
- Competency in Excel and G Suite
- Control Room experience
- Team player mentality
- Strong communication skills
- Attention to detail
- Problem-solving skills
Desired Skills:
- FINRA SIE, Series 7
- Bilingual Spanish/English
