Compliance, Control Room, Analyst, Birmingham

The Control Room, part of the Compliance Division, is seeking a compliance officer for a role in Birmingham. The Control Room is primarily responsible for preserving the integrity of the Firm's information barriers by monitoring and controlling the flow of confidential information between the Firm's private/advisory side businesses (e.g., Investment Banking, and Capital Markets, Finance and Risk) and public side businesses (e.g., Asset Management, Private Wealth Management, and Global Investment Research). Additionally, the Control Room is tasked with staying close to banking transactions to ensure that all legal and policy restrictions are activated in a timely manner, as well as advising firm divisions dealing with trading and research as to the applicability of those restrictions.

PRINCIPAL RESPONSIBILITIES:

Interacting with the Investment Banking and Capital Markets and Asset Management Divisions in order to maintain the Firm's Confidential Lists
Reviewing research published by the Global Investment Research Division to ensure compliance with certain legal and regulatory obligations
Liaising with Legal and other areas of Compliance in order to monitor and/or restrict sales, trading and/or research activities pursuant to certain legal, regulatory and/or policy considerations
Applying the Research Settlement rules to facilitate communications between Equity Research and Investment Banking personnel
Working with the Conflicts & Business Selection Group to facilitate approval for certain Firm and client transactions and subsequent risk management activities
BASIC QUALIFICATIONS:

Recent college or law school graduate with up to 2+ years of compliance or legal-related experience in financial services preferred
Possess a general understanding of the current regulatory environment and financial markets and/or securities regulation and rules
Excellent verbal and written communication skills
Proactive and willing to take on issues/responsibilities that require focus and determination
Ability to work as a member of a team in a high-pressure, fast-paced environment
Detail-oriented with ability to multitask, organize and prioritize