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Job description
Regulatory Recruitment Consultant at Larson Maddox
This range is provided by Larson Maddox. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
Direct message the job poster from Larson Maddox
Overview
An organization is seeking an experienced compliance professional to lead its Compliance Control Room within the broader Capital Markets Compliance function. The role is responsible for overseeing daily Control Room operations and managing the firm’s information‑barrier framework. Core responsibilities include monitoring and handling material non‑public information (MNPI), assessing and mitigating conflicts of interest, and ensuring regulatory compliance across business areas such as investment banking, research, and sales & trading.
The ideal candidate demonstrates strong analytical capabilities, excellent communication skills, and a proactive, accountable approach to work. This position reports to senior compliance leadership and operates on a hybrid schedule.
Responsibilities
Oversee the firm’s information‑barrier framework and related governance
Maintain the organization’s watch (grey) and restricted lists
Review, approve, and track wall‑crossing requests
Manage the flow of MNPI between business units
Provide guidance on restrictions related to transactions or MNPI exposure
Monitor and chaperone communications between Research, Sales & Trading, and Investment Banking
Review and approve research publications when list‑related considerations apply
Advise research personnel on required disclosures related to transactions or covered companies
Monitor employee and firm trading activity tied to watch/restricted lists
Update and maintain policies and procedures governing Control Room and information‑barrier operations
Oversee compliance attestations related to Control Room functions
Deliver periodic firm‑wide Control Room training
Collaborate with compliance partners and business stakeholders to ensure adherence to internal policies and regulatory obligations
Required Qualifications
Minimum of ten years of experience in a compliance, regulatory, or related function
Direct experience with Control Room operations in a capital‑markets environment
Strong knowledge of regulatory standards governing information‑barrier programs
Preferred Qualifications
Legal training and/or regulatory agency experience
Broader familiarity with broker‑dealer regulatory requirements
Excellent written and verbal communication abilities
Exceptional judgment, analytical skills, and attention to detail
Ability to operate in a fast‑paced, high‑pressure environment
High level of motivation and commitment to excellence
Seniority level
Director
Employment type
Full‑time
Job function
Finance
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Worksite address
boston, MA, 02298, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.