About the role
FinEx AI summary
This Director-level role leads oversight of Information Barriers and conflict management across Research and Investment Banking. Responsibilities include maintaining Watch and Restricted Lists, reviewing research for compliance, chaperoning communications, and overseeing employee trading pre-clearances. The position acts as a key contact for global Control Group matters.
Core skills
Information BarriersConflict ManagementLegal & ComplianceWatch and Restricted ListsWall Crossing PoliciesResearch Compliance