Associate Vice President, Control Room Compliance

About the Company

Top-tier multinational financial services firm

Industry
Financial Services

Type
Privately Held

About the Role

The Associate Vice President, Control Room Compliance will be responsible for providing guidance on compliance policies, staying abreast of securities laws and relevant regulations, as well as ensuring compliance with research compliance rules.

Travel Percent
Less than 10%

Functions

• Legal

Known Requirements

• Bachelor's degree in finance, accounting, compliance, or equivalent experience required
• Proven expertise in similar senior roles required
• Extensive knowledge in managing complex compliance projects required
• Previous experience in compliance frameworks required