Job description
Essential Duties & Responsibilities:
- Serve as the Compliance Subject Matter Expert on Information Barriers
- Develop and maintain relationships with key stakeholders, including businesses and other risk functions, to ensure implementation of an effective compliance program.
- Assist on the maintenance of the Firm's Global Watch and Restricted Lists, including seeking and responding to updates from investment banking teams
- Assist the business with research vetting's from Investment Banking, the related wall crossings and chaperoning meetings between Investment Banking and Equity Research.
- Advisor to business groups, Legal and Compliance colleagues on Information Barriers, wall crossing procedures, sensitive information and need to know policies
- Advise Equity Research regarding use of experts and expert networks
- Review and approve equity research as needed
- Review of electronic communications
- Respond to Internal Audit and regulatory inquiries
- Execute projects as assigned by supervisor and/or Compliance senior management.
- Participate in the drafting of compliance related policies and procedures. Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matters; and respond to compliance related questions from management and staff.
- Conduct trainings of the equity research staff during onboarding, add-hoc and annual compliance training
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