Location:

The Compliance Control Room Analyst/Officer is responsible for assisting in the day-to-day operations of the KBCM Control Room, including maintaining the firm's information barrier program, managing restricted and watch lists, reviewing transactions for potential conflicts of interest, and ensuring compliance with all applicable federal securities laws, FINRA rules, and firm policies and procedures.

This role serves as a critical liaison between the Investment Banking, Capital Markets, Research, and Sales & Trading departments and the Compliance function, helping to ensure the firm's business activities are conducted in compliance with regulatory requirements governing the handling and control of material non-public information (MNPI). The position reports to the Deputy Chief Compliance Officer of KBCM.

Key Responsibilities

Information Barrier & MNPI Management