Control Room Management Senior Consultant - NYC

Job Description

Sia Partners NYC is searching for an individual that has 5 - 10 years of Management Consulting experience specializing in Control Room Compliance in Financial Services. This individual must be driven and have exceptional interpersonal and relationship management skills. As part of the internal activities’ development, you will be involved in the following:

• Possess business development and relationship management skills
• Development and improvement of our offers via training sessions and workshops
• Exceptional participation in industry Working Groups and creating marketing material (blog, whitepapers…)

This individual will face off with our Financial Service client(s) and be a Control Room Compliance officer.

• Responsible for maintaining the firm's Information Barriers to restrict the improper flow of information and prevent the misuse of material non-public information between the public side areas of the firm (e.g., Research, Sales & Trading) and the private side areas (e.g., Investment Banking, Capital Markets, Leverage Finance)
• Maintain the firm’s Watch and Restricted Lists. Implement restrictions pursuant to securities laws and Firm policies and procedures
• Review the firm’s Research prior to publication to ensure it adheres to FINRA and SEC rule requirements
• Advise Research, Investment Banking and various origination groups
• Review research notes / reports submitted to the Control Room by Supervisory Analysts for review and approval of content against the Watch / Restricted Lists
• Restricted List: daily updating and monitoring of the Restricted List
• Watch List: daily updating and review of the Watch List – additions, deletions and obtain updates from Investment Banking

Real-time Support:

• Advise Research and Sales & Trading of restrictions and corresponding permissible activities
• Coordinate with Investment Banking regarding deal announcements, advise on questions regarding the Watch and Restricted Lists
• Information Barriers Surveillance
• Perform pre-clearance of employee trades as required

Time Allocation (%) Job Mandate Reference Guide:

• Research Review – 25%
• Restricted List – 10%
• Watch List – 20%
• Advisory – 10%
• Information Barriers Surveillance – 30%
• Trade Pre-Clearance – 5%

Qualifications

• Bachelor’s Degree or Higher level of education. Exceptional academic background (e.g. Business, Economics, Literature, Political Science, Engineering)
• 5 – 9 years of Management Consulting experience required
• Ability to work independently while also being able to work effectively in a team environment
• Non-traditional hours may be required
• Ability to work under short deadlines and make quick and reasoned decisions
• Control Room experience
• Familiarity with Regulation M, FINRA Rule 2241 and other relevant rules and regulations
• Trade Surveillance experience helpful

This is an opportunity to join a rapidly growing team in New York that serves some of the most exciting and highly respected companies in the world. You will have the opportunity to provide clients with original thinking and customized solutions and you’ll often have the satisfaction of seeing the impact of your work on their business. We are committed to a healthy work-life integration. We do serve our clients globally and if interested, there are opportunities for international mobility.

• Generous PTO, including Parental leave
• Healthcare that includes dental and vision, life insurance and 401K matching
• Career advocacy program that supports achieving personal development goals through coaching, collaboration and real-time feedback
• Robust learning and development platform through the Sia Institute, 360 Learning App, Sia Blend App, working groups, US Training Sessions, and reimbursement for continuing education and certifications
• Women at Sia Club
• Annual Seminar/a value add experience to network with your colleagues across North America and other regions
• Opportunities for geographic mobility if desired
• Work directly with clients

Additional Information

Diversity, equity, inclusion, and belonging (DEIB) are part of Sia Partners’ DNA. Thanks to our expertise in several sectors and our international growth, our teams include a variety of experiences and cultures. We’re confident that promoting DEIB creates an environment in which everyone can reach their full potential.

Our global network, [emailprotected] Partners, brings together our people worldwide to facilitate local and global progress, focused on the following areas:

• Gender equality (global Gender Equality Index score of 91/100 for FY19-20)
• LGBTQ+
• Race & Ethnicity
• Working Parents
• Disabilities

To learn more about Sia Partners, please visit: