Head of Control Room (Russia)

Maintain the Firm s Conflicts List, Watch List and Restricted Securities List; Extract relevant deal information from written sources of information, e.g. e-mail conversations, business approval forms, research guidelines, termsheets; Check for conflicts between a new transaction and any other activities of the Firm already recorded on the Conflicts List. Escalate any identified conflicts and follow through to resolution, record the outcome on the Conflicts List; Liaise with Bankers, Legal, and regional Compliance Officers for updates to the list information; Responsible for the Control Group s monitoring, consisting of: - Generation and analysis of reports of trading activity vs. the Watch List and Restricted Securities List; - Post-deal review of files; - Checking that outsourced research meets FSA standards; - Generation and analysis of front running reports of research; - Review of sales notes to confirm they have the correct disclaimers and do not constitute investment research; - Generation and analysis of ad hoc reports as required. Manage Compliance Policies related questions/issues (Employee Trading Policy, Outside Business Activity, Gift and Entertainment Policy, Chinese Wall Policy)