Control Room Analyst


: $76,000.00 - $133,150.00 /year *

Employment Type

: Full-Time


: Scientific Research

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**JD's Welcome!!
Our Client a Global Investment Bank is seeking a Control Room Analyst for their Jacksonville FL location

Compliance is seeking an Analyst within the Control Room function to monitor the integrity of the firm s information barriers, depending on level of experience. The primary function of the role is to maintain the Banks Watch and Restricted lists, assist the business identify and mitigate any potential conflicts of interest, review research reports to ensure compliance with applicable securities laws, facilitate wall crossings and provide advice and guidance on the handling of confidential and price sensitive information. The role will also require learning rules and regulations pertaining to business communications between research analysts and investment bankers, and conducting further monitoring of those interactions to ensure compliance.

Key Responsibilities:
Maintenance of the firm s Watch and Restricted List
Evaluate and approve wall crossing requests
Review and clearance of Research for publication
Perform cross-divisional conflict checks and identify potential issues
Provide advice and guidance on legal, regulatory and compliance requirements as they relate to information barriers, conflicts of interest, offering rules, trade restrictions, and research
Assist in the development, review and testing of Control Room systems
Conduct ad-hoc projects
Monitor changes in securities regulations and implement or update applicable policies and procedures
Give advice and explanations regarding the above topics
Some weekend work may be required

Bachelor s degree required; JD also considered
The successful candidate will have 1-3 years of relevant industry exposure or professional experience.
Knowledge/background in investment banking products and application to the core Control Room functions, including confidential information, information barrier procedures and controls and insider trading rules
Knowledge/experience with financial markets and an array of financial products (including stocks, bonds, equity/credit derivatives).
Understanding of basic securities laws relating to research and insider trading rules
You will be:
Analytical, process-oriented mindset
Strong attention to detail, coupled with strong problem solving skills
A pro-active, results-oriented approach with strong drive and initiative
Well-developed relationship-building skills, networking skills and communication/influencing skills
Communication skills including confidence in expressing business views tactfully
Ability to manage multiple, deadline-oriented tasks in a fast paced environment
Microsoft Office Suite, especially ability to understand and manipulate Excel worksheets
Team work skills

Job Requirements:
  • Generated in quality control (QC)
  • Applying statistical quality control procedures
  • Give laboratory/quality control disposition of raw material and finished product
  • Provide laboratory/quality control disposition of raw material and finished product
  • Evaluate all outside quality control testing activity
  • Develop and maintain quality control review documentation
  • Perform quality control testing to ensure selected loans
  • Report quality control results to affected departments
  • Generated from the analytical testing of finished product and stability samples
  • Train other quality control staff regarding good laboratory practice
  • Implement process improvements to the software quality control process
  • Perform quality control tests on raw materials, finished product, stability, and validation samples to support Production needs
  • Perform quality control tests on raw materials, finished product, stability, and validation samples to support Production needs
  • Developing procedures and training related to quality control projects
  • Perform all quality control analytical methods as required to support Production
  • Perform quality control of data using appropriate department applications and procedures
  • Performing routine laboratory procedures, such as sample testing per analytical methods or protocols
  • Enhance quality of data in products
  • Performing complex and routine laboratory analysis and testing of raw material
  • Compare testing results against control/specification limits

Associated topics: business, credit, estate, financial analyst, gs 0110 12, investment, pricing, real estate, valuation, wholesale * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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