Control Group VP

Department Description:
The Office of General Counsel (OGC) provides expert legal, regulatory and compliance guidance to Merrill Lynch's management and employees, across all businesses around the world.  This ensures consistency with the firm's principles, compliance with applicable laws and regulations, a superior standard of service for issuing and investing clients, and the enhancement and protection of shareholder value.
Brief Description:
The Office of General Counsel seeks a Compliance Officer to be a part of the Americas Control Group, which manages the implementation of the Firm?s Chinese Wall and other related policies and procedures and provides Americas time zone coverage as part of the Global Control Group?s rolling 24 hour coverage. The successful candidate will report functionally to the Global Control Group Head based in New York.  The candidate will interact daily with investment bankers and other front office personnel, research personnel operations personnel and work closely with a team of other Control Group staff as well as with product counsel and compliance. Job Responsibilities:
Working knowledge of securities regulatory framework, general regulatory and internal control requirements and Information Barrier issues3-5 years trading surveillance experienceExcellent negotiating and interpersonal skills, solution driven, confident, highly motivated and organized, a team player. Energetic and able to work independentlyAble to perform well under pressureQualifications:
Develop and implement Control Group trading surveillance policies and procedures Handle day-to-day surveillance activities In addition, as part of the Control Group team, willAssist in maintaining grey/watch lists and restricted listsMake determinations on research and trading restrictions in accordance with applicable laws/policies in investment banking transactions (including mergers and acquisitions and capital market transactions)Review research reports, analyze research guidelines and applicable laws and policies regarding disseminations of research in the context of a transaction.Provide compliance support for Australia and other APR "morning calls", Americas region research and late European research as part of a 24 hour global clearance approach to researchParticipate in the ongoing development of enchancements to electronic systems, policides and procedures of the Control Group.




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