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Control Room - VP

Madison-Davis, LLC
Jacksonville, FL Full Time
POSTED ON 1/13/2025
AVAILABLE BEFORE 4/6/2025

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

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