Asset Manager

Compliance, Control Room Manager, New York, NY

Compliance, Control Room Manager (New York, NY): Our client an asset manager with over $25 billion AUM is seeking an experienced control room professional to join their team. This person will work closely with all members of the compliance team. This is an exciting opportunity to join a firm that is well established and still growing! The firm is team oriented, fast paced, and will allow this new hire to continue to develop professionally.


Key Points:

  • Newly created position with a reputable firm, building out their control room platform
  • Opportunity to fully take on this function and build/develop/manage this team – tons of visibility due to the function of the group
  • Firm is stable andgrowing in both assets and investment strategies with a strong global footprint


  • Lead the contributions towards building a small control room team managing critical functions across a diverse global business
  • Develop and implement policies, procedures and controls around the firm’s restricted trading and watch lists; serve as a vital member in building out the control room function
  • Manage conflicts of interests both regionally and globally; coordinate with external legal and deal professionals to identify and mitigate potential conflicts 
  • Evaluate and process personal trading and private investment requests; monitor adherence to the firm’s Information Barrier Policy and oversee communications between personnel on each parties’ side 
  • Implement and dismantle temporary information barriers; conduct analysis as it relates to potential material nonpublic information


  • 5 – 10 years of all-encompassing regulatory and/or compliance experience; bachelors degree required; JDs will be considered 
  • Control Room experience and exposure on the investment banking side would be ideal; experience in managing conflicts of interest required
  • Excellent written and verbal communication skills; proven project management experience with the ability to take initiative while working autonomously 
  • Strong organizational and time management skills; comfortable working across various teams within the firm 

 Job Reference #: 1533

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