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Title: Compliance Analyst

Location: New York, NY 10172

Duration: 09 Months

Pay Rate: $55.00 - $62.00/- on W2

• Support Core Control Room Operations: Assist Control Room (CR) staff in executing their core advisory, monitoring, and oversight functions. This includes daily interactions with key business units such as Debt Capital Markets (DCM), Equity Capital Markets (ECM), the Investment Banking Group (IBG), the Relationship Management Group (RMG), and the Structured Finance Group (SFG). Responsibilities involve helping ensure compliance with information barriers, monitoring deal-related activities, and supporting overall regulatory and reputational risk management.
• Policy and Procedure Maintenance: Contribute to the ongoing development, enhancement, and updating of internal Control Room policies, procedures, and governance frameworks. This includes identifying areas for improvement, drafting revisions, and helping implement best practices to strengthen the firm's compliance infrastructure.
• Watch List and Restricted List Management: Assist CR staff in maintaining and updating the firm's Watch List and Restricted List, ensuring timely inclusion or removal of securities based on deal activity, MNPI (material non-public information) considerations, and regulatory requirements. Support operational tasks such as coordinating with business lines, tracking changes, and documenting rationales.
• Facilitation of Wall Crossings: Support the facilitation and documentation of wall crossings, including coordinating approvals, ensuring appropriate disclosures, and helping maintain accurate records. Collaborate with bankers and control partners to ensure that individuals receiving MNPI are properly logged and briefed.
• Global Coordination Across Regions: Help facilitate communication and alignment between the Americas, EMEA, and Tokyo Control Rooms. This includes participating in cross regional discussions, supporting global consistency initiatives, and assisting with implementing shared compliance standards and procedures across jurisdictions.
• Conflicts of Interest (COI) Checks: Assist with the facilitation of local Conflicts of Interest reviews to support transaction approvals and business activity oversight. This includes gathering relevant information, conducting preliminary assessments, and escalating potential issues to senior officers as needed. Assist with the ongoing COI technology project.
Must Haves:
• 10+ years of relevant professional of direct Compliance experience.
• Strong ability and confidence to engage with Compliance teams and senior stakeholders, demonstrating sound judgment, professionalism, and credibility in all interactions.
• Proven capability to perform effectively under time sensitive and high pressure conditions, managing multiple priorities while maintaining accuracy and attention to detail.
• Exceptional oral and written communication skills, with the ability to convey complex information clearly, concisely, and appropriately for different audiences.
• Demonstrated ability to work both independently and collaboratively within a team environment, taking initiative while contributing to a cooperative and solutions oriented culture.

 

 

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