Head of Control Room
Key Responsibilities
- Provide strategic leadership in identifying, evaluating, and resolving conflicts of interest across investment banking, capital markets, commercial banking, and M&A activities.
- Utilize in-depth knowledge of U.S. and Canadian equity research to ensure compliance with relevant regulatory standards and safe harbor provisions.
- Design, implement, and continuously refine conflict management frameworks, policies, and procedures to support business integrity and regulatory compliance.
- Manage conflict clearance processes across the Corporate and Investment Bank, ensuring alignment with internal protocols and external regulations.
- Oversee employee personal trading reviews to proactively detect and address potential conflicts of interest.
- Lead complex, cross-functional initiatives including global policy implementations, technology migrations, and operational enhancements.
- Act as a senior compliance advisor, providing guidance on nuanced conflict scenarios to business and regulatory stakeholders.
- Stay abreast of evolving regulatory landscapes and industry best practices to maintain a forward-looking, best-in-class conflict management program.
- Support team development by mentoring junior staff and promoting a culture of accountability, collaboration, and continuous improvement.
- Minimum 10 years of experience in conflicts management within a global financial institution, preferably in a control room or compliance function.
- Deep understanding of investment banking products, services, and regulatory frameworks (e.g., FINRA, SEC, MiFID II), including reviewing and approving U.S. and Canadian equity research.
- Demonstrated success in building and implementing conflict management systems and tools.
- Proven experience leading large-scale change projects in a matrixed, global environment.
- Strong analytical, problem-solving, and project management skills.
- Excellent communication and stakeholder management abilities.
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