Control Room

5 days ago

Pune, Maharashtra, India T D Newton & Associates Full time

Join us as a "BBPLC Control Room", wherein Compliance Control Room manages Legal, Regulatory and Reputational Risk across all lines of business. This involves business critical functions in respect of key controls to manage Market Abuse and potential Conflicts of Interest via Information Barriers, Regulatory Insider Lists together with the ongoing operational management of the Watch List and Restricted Lists. This is accomplished via advisory services provided in relation to Information Barrier Controls and the flow of MNPI. This includes daily interactions with senior bankers in regard to transactions and ensuring full, detailed regular analysis of the current and future state of private side transactions is undertaken. The critical review is the trigger point to instigate downstream controls within Monitoring and Surveillance and the necessity to implement Research Conflicts Clearance per the requirements under US Securities law.

You may be assessed on the key critical skills relevant for success in role, such as experience with Control Room, as well as job-specific skillsets.

To be successful as a "BBPLC Control Room ", you should have experience with :

  • Liaising with senior bankers in relation to transactions, assimilating and analyzing relevant information to evaluate risks and requirements for preventative and detective controls such as surveillance and research review to manage the Firm's Watch and Restricted List.
  • Advising on Information Flows, Information Barriers and Inside Information considerations, acting as a check and challenge function.
  • Provide guidance and act as a control function in regard to chaperoning requirements as well as vetting the appropriateness of communications and, or calls between the Firm's Equity research department and Banking department.
  • Applying firm wide restrictions in response to formal transaction announcements and advising on restricted activity in a time sensitive manner to manage legal, regulatory and reputational risk.
  • Reviewing wall crossings in consultation with business heads acting as Wall Crossing Approvers; keeping accurate and detailed records to ensure the integrity of firm's information barriers are appropriately monitored.
  • Investigating breaches of policy and uphold policy fairly and consistently, liaising with Product Compliance and the relevant supervisors as required to issue policy breach notifications and any actions deemed appropriate.
  • Assisting in drafting updated procedures, guidance or training, and delivering training from time to time.
  • Participating in Control Room projects or regulatory reviews as required, such as technology enhancements, insider lists, procedure updates and assurance reviews requiring Control Room subject matter expertise.
  • Exercising attention to detail in maintaining accurate records of inside information, the watch list, restricted list and wall crossings to ensure internal controls and risk management processes are effective.

Desirable skills/Preferred Qualifications:

  • Strong understanding of the rules and regulations relating to the Control Room.
  • Able to work in a fast paced, time sensitive environment.
  • Excellent communication skills both written and oral.
  • Assertive and confident manner with an investigative nature
  • Degree or Equivalent.

The role is based out of Pune.

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