Control Room Compliance VP

• Work at the centre of high-impact regulatory decision-making

About Our Client

Our client is a leading global investment bank with a strong presence across capital markets, asset management, and advisory services. The firm operates at scale internationally and is recognised for its robust compliance framework and commitment to regulatory excellence.

Job Description

• Maintain restricted trading lists, confidential lists, and other information control frameworks
• Monitor and control information flows between private-side and public-side business units
• Partner with Legal and Compliance teams to enforce regulatory restrictions on trading, research, and advisory activities
• Review research publications to ensure adherence to applicable regulations and firm policies
• Apply relevant rules governing communication between research and corporate advisory teams
• Support transaction...