Control Room Associate

Responsibilities

Developing Control Room policies and procedures
Delivering training and guidance to other Compliance colleagues and the business.
Providing ongoing advice and guidance to the business in terms of adhering to the newly created communication rules of engagement and chaperoning as/when required
Chaperoning communications between equity research and banking personnel
Liaising with the Takeover Panel as required
Ensuring appropriate and timely review of independent investment research prior to publishing
Maintenance of the Watch, Grey and Restricted Lists
Coordinating and approving wall crossings
Advising on matters relating to the publishing of research arising from the US Securities Rules (including analysis of safe harbours for research), Takeover Panel research restrictions, and FCA COBS rules.
Advising Research and Wealth Management on matters relating to the Restricted List
Leading and participating in compliance projects and initiatives.
Liaison with overseas offices on cross-border issues.

Experience and Competencies required

Experience

Experience commensurate with a mid / senior role, gained within the Control Room or Investment Banking or Research Compliance departments of an investment bank.
Knowledge and understanding in relation to the US Securities Rules and safe harbours applicable to research production, the UK Takeover Code, the Market Abuse Regime and rules and principles relating to the independence of research.