Vice President, Control Room Compliance

Overview

In this role, you will support the Control Room Compliance team to manage information conflicts, monitoring lists, and trade/investment clearance. You will participate in daily processes, assist with policy upkeep, and collaborate across the enterprise to ensure regulatory obligations are met. You’ll engage with legal, trading, and offshore partners while contributing to testing and process improvements. This position offers visibility within a global compliance function that safeguards the firm’s integrity and regulatory standing.

Responsibilities

• Review conflicts checks for new deals and manage information workflows
• Clear NDAs with internal and external counterparts
• Execute wall crossing and market sounding for new deals
• Maintain restricted lists and conflicts monitoring lists
• Update and maintain Compliance policies and procedures
• Demonstrate understanding of issuer/borrower hierarchy using Bloomberg
• Partner with Trading Compliance to operate the trading program
• Oversee analytics from offshore team
• Assess conflicts of interest and participate in materiality analyses (MNPI, borrower restricted, syndicate info)
• Perform internal process reviews and quality checks
• Support special projects and ad hoc tasks
• Escalate issues to management promptly
• Participate in technological enhancements for Control Room and Compliance
• Assist with global testing program

Key requirements

• 10+ years of experience at a global investment adviser or investment bank – Control Room or conflicts management experience required
• Experience with credit-based strategies including private equity, private debt and equity, and capital markets activities
• Familiarity with SEC regulatory review and interpretation of regulations
• Analytical report generation/creation
• Ability to work independently and interact effectively with all levels of management
• Strong organizational skills and ability to manage competing priorities
• Experience partnering with business and investment colleagues in a large institutional setting
• Professional demeanor in routine and highly charged environments; adaptive communication
• Experience working with an offshore service provider is a plus
• Commitment to quality and timely, accurate work product

• Strong interpersonal, relationship-building and negotiation skills
• Proactive in anticipating issues and opportunities
• Excellent verbal and written communication
• Knowledge of Bloomberg
• Advanced Excel
• Project Management

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