Investment bank located in Jacksonville, Florida looking to bring on board an "Control Room - VP" to join their team. The firm is currently in a hybrid model (3 days in office).
Responsibilities:
Provide Compliance support for the Control Room
Maintenance of the Firm's Watch and Restricted List
Review and clearance of Research for publication
Provide advice and guidance on legal, regulatory and compliance requirements as they relate to information barriers, conflicts of interest, offering rules, trade restrictions, and research
Monitor changes in securities regulations and implement or update applicable policies and procedures
Will need to be flexible on workday including maintaining access to work email and regular weekend coverage