What are the responsibilities and job description for the Control Room Operator position at Howard-Sloan Search?
Our Client - Major Financial Technology firm is looking for
Control Room Associate - Regulatory and Compliance team
to assist in the implementation, and enforcement of the firm’s information‑barrier, MNPI, and Restricted Trading List (RTL) programs - to assist in the oversight of potential conflicts arising from access to sensitive information across investment advisory, portfolio management, and distribution activities.
Will work with Legal to safeguard against misuse of MNPI, ensure compliance with securities laws, and promote a strong culture of compliance and ethical conduct.
Responsibilities
- Enhance, maintain, and enforce policies and procedures related to MNPI, information barriers, personal and firm trading restrictions, and conflicts of interest.
- Assist in potential MNPI, information barrier breaches, and wall‑crossing events.
- Coordinate and document wall‑crossing approvals, acknowledgements, and related controls.
- Support the administration and oversight of the firm’s Restricted Trading List (RTL), including adding, monitoring, and removing securities based on MNPI considerations.
- Conduct trading activity surveillance against RTL restrictions and escalate potential violations for investigation and remediation.
- Maintain documentation supporting RTL decisions and audit trails for regulatory review.
- Support investigations into potential MNPI misuse, information barrier breaches, or trading violations, including coordination with Legal and HR as appropriate.
- Assist in the development of targeted training on MNPI, information barriers, and RTL obligations for employees with elevated risk exposure.
- Coordinate monitoring of regulatory developments, enforcement actions, and industry trends related to insider trading and MNPI controls.
Qualifications
- 2-5 years of experience, including in a control room function or overseeing MNPI, insider trading, or information‑barrier programs
- Understanding of U.S. securities laws and regulations related to insider trading and market abuse (i.e. Exchange Act Section 10(b), Rule 10b‑5)
- Experience in trading surveillance controls
- Excellent written and verbal communication skills, with the ability to clearly articulate risk and compliance requirements
- Collaborative, pragmatic, and able to operate effectively across business, legal, and compliance functions
- this role is for someone who thrives in a fast-paced environment with a continuous learning mindset
- BS degree
Salary / Benefits
The base salary range for this role is $70,000 to $85,000.
Compensation package includes salary, equity, and an annual performance bonus. matched retirement plan, healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).
Work schedule model: in the office Monday-Thursday, remotely on Friday.
Salary : $75,000 - $80,000