| Job Description: |
Job Description
* Maintain the firm's Watch and Restricted Lists and coordinate with Control Room colleagues globally. Identify issues that can expose the firm to reputation damage, litigation and/or regulatory risks.
* Manage the Information Barriers between Investment Banking, Research, Sales, Trading and Private Banking/PCS departments. Assist in establishing and maintaining Control Room policies and procedures.
* Review and approve market-impacting research communications, investment recommendations, media contacts, marketing materials, sales literature and electronic communications to customers and the general public prior to dissemination to identify potential regulatory issues.
* Conduct in-house training programs for new hires and continuing education for registered and non-registered personnel.
* In depth knowledge of Investment Banking transactions and associated regulatory issues surrounding such transactions. The successful candidate will also possess significant experience in the fixed income markets as it relates to HY debt trading, bank loan syndications and trading, CDS trading and credit portfolio management.
* Extensive knowledge of equities trading and associated compliance/ regulatory issues relating to structured products, options, derivatives, cash trading and sales.
* In depth knowledge of rules and regulations (Section 5, Section 13/16, Reg M, Rules 138/139, 14e-5, tender offer rules) which are the basis of the firm's Information Barrier policies and procedures. Provide guidance on federal securities laws and regulations pertaining to securities offerings, mergers and acquisitions, private placements and other financing transactions. Consult with internal and external legal counsel as necessary. Ensure compliance with applicable SEC, NYSE and NASD rules.
* Knowledge of Global Research Settlement and additional responsibilities it imposes on the Control Room. Ability to implement new policies and procedures relating to the Global Settlement on Analysts Conflicts of Interest and Research Independence.
* Ability to interact with senior members of IB and Capital Markets on a regular basis to assess materiality of information JPM possesses. Provide compliance advice to internal clients including Investment Banking, Research, and Equity/Debt Capital markets and Proprietary Trading.
Qualifications
* Minimum of (5) years of experience in a Control Room
* Knowledge of options, supervisory and marketing rules is plus
* Series 7, 24, 63; Series 9, 10, 4 is a plus
* Excellent interpersonal and communication skills
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Ability to multi-task and perform in a fast paced and, challenging and often unpredictable environment.
* Law degree or MBA a plus
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