Control Room Director

Guggenheim Securities

Control Room VP/Director ensuring compliance with regulatory requirements for investment banking. Leading the Control Room team and collaborating with business leaders in a fast-paced environment.

Posted 7/21/2026full-timeNew York City • California, New York • 🇺🇸 United StatesLead💰 $150,000 - $190,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Expertise in Compliance within Investment Banking, with a strong understanding of FINRA and SEC regulations, material non-public information, and effective communication between Compliance and business units. Proven ability to analyze compliance issues and implement commercially viable solutions while maintaining strong relationships across teams.

Highest-signal resume keywords

Investment Banking ComplianceFINRA RegulationsSEC RulesMaterial Non-Public Information (MNPI)Microsoft Office Proficiency

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance MonitoringConflict SearchesWall-Crossing RequestsTrade SurveillanceAnalytical SkillsResearch RestrictionsPublic/Private DesignationsChaperoning Calls/MeetingsResponse PreparationRegulatory Analysis

Soft Skills

Verbal CommunicationWritten CommunicationTeam CollaborationProblem SolvingAdaptability

Industry Keywords

Information BarriersCorporate FinanceFinancial Advisory TransactionsInvestment BankingControl Room Activities

About the role

Key responsibilities & impact

Maintenance of the Firm’s watch and restricted lists.
Conduct conflict searches for relevant activity across all business units and affiliated entities.
Review research reports, market commentary, public appearances and non-deal roadshow requests and handle watch and restricted list considerations.
Process and manage ‘wall-crossing’ requests.
Assist in preparing responses to FINRA underwriter questionnaires.
Information barrier monitoring and watch and restricted list trade surveillance.
Provide advice on and monitor interactions and communications between Research and Investment Banking, including chaperoning calls/meetings between Investment Banking and Research.
Develop and maintain a strong relationship between Compliance and business unit professionals through effective communication.
Rotational weekend coverage.

Requirements

What you’ll need

Bachelor’s degree and 7 to 10+ years of experience as a Compliance professional, within a large, full-service investment bank with a minimum of 5+ years of Investment Banking Compliance/ Control Room experience.
Fluent in applicable FINRA and SEC rules and enforcement and industry best practices relevant to information barriers, material non-public information and Control Room activities.
Deep understanding of public/private designations, MNPI determinations and considerations and the purpose and application of sales, trading, and research restrictions related to corporate finance and/or financial advisory transactions.
Excellent verbal and written communication skills and strong professional demeanor.
Proven ability to work well in a team, showing initiative, a positive attitude, and the motivation to complete work independently as well.
Ability to understand and analyze compliance issues and recommend commercially effective solutions.
Proficient in Microsoft Office, including the ability to work comfortably within Excel.
Analytical skills required to keep up with the evolving regulatory and industry environment.
Results-orientated focus toward action and a track record of achievement.
Strong written, verbal, and presentation skills.
Adaptability and flexibility; collaborative approach to problem solving in a fluid environment.

Benefits

Comp & perks

🌐 Worldwide ❌ Jobs You've Hidden ⭐️ Saved Jobs ✅ Applied Jobs ✉️ Email Alerts 👤 Account Guggenheim Securities Website LinkedIn All Job Openings 501 - 1000 employees 💸 Finance Finance
Investment Banking
Consulting Guggenheim Securities is the investment banking and capital markets business of Guggenheim Partners. We offer a premier strategic advisory practice, tailored financing solutions, and market insights through research, sales & trading. At the intersection of innovative industries and markets, Guggenheim Securities is the thought leader for cutting-edge companies worldwide, providing unique advice and insight across industry sectors including tech, energy, healthcare, and mobility. We serve as a trusted advisor for various financial transactions, including mergers, acquisitions, and capital raising, while prioritizing our culture and talent recruitment. Control Room Director 🔥 1 minute ago 🏢🏡 New York City – Hybrid 💵 $150k - $190k / year ⏰ Full Time 🔴 Lead 👔 Director 🦅 H1B Visa Sponsor Apply Now Find Hiring Managers Customize resume + cover letter Report problem ☆ Save ☑️ Mark as applied ❌ Hide 📋 Description
Maintenance of the Firm’s watch and restricted lists.
Conduct conflict searches for relevant activity across all business units and affiliated entities.
Review research reports, market commentary, public appearances and non-deal roadshow requests and handle watch and restricted list considerations.
Process and manage ‘wall-crossing’ requests.
Assist in preparing responses to FINRA underwriter questionnaires.
Information barrier monitoring and watch and restricted list trade surveillance.
Provide advice on and monitor interactions and communications between Research and Investment Banking, including chaperoning calls/meetings between Investment Banking and Research.
Develop and maintain a strong relationship between Compliance and business unit professionals through effective communication.
Rotational weekend coverage. 🎯 Requirements
Bachelor’s degree and 7 to 10+ years of experience as a Compliance professional, within a large, full-service investment bank with a minimum of 5+ years of Investment Banking Compliance/ Control Room experience.
Fluent in applicable FINRA and SEC rules and enforcement and industry best practices relevant to information barriers, material non-public information and Control Room activities.
Deep understanding of public/private designations, MNPI determinations and considerations and the purpose and application of sales, trading, and research restrictions related to corporate finance and/or financial advisory transactions.
Excellent verbal and written communication skills and strong professional demeanor.
Proven ability to work well in a team, showing initiative, a positive attitude, and the motivation to complete work independently as well.
Ability to understand and analyze compliance issues and recommend commercially effective solutions.
Proficient in Microsoft Office, including the ability to work comfortably within Excel.
Analytical skills required to keep up with the evolving regulatory and industry environment.
Results-orientated focus toward action and a track record of achievement.
Strong written, verbal, and presentation skills.
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