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# Vice President and Control Room Manager, Compliance in New York

- **Company:** Energy Jobline
- **Location:** New York, NY, United States
- **Experience:** Expert
- **Contract:** Permanent contract
- **Skills:** Algorithmic Trading, Applicant Tracking Systems, Npm(Software)
- **Published:** October 9, 2026
- **Apply:** https://www.energyjobline.com/job/vice-president-and-control-room-manager-compliance-new-york-32076041

## About the Role

* 5+ years of broker-dealer or investment adviser compliance experience, with direct Control Room, information barrier, or MNPI/watch-restricted list responsibility.
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 * Working knowledge of FINRA and SEC rules governing information barriers, insider trading prevention, and Regulation ATS.
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 * FINRA Series 7 and Series 63 (Series 24 ; will consider candidates willing to obtain it post-hire).
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 * Demonstrated experience managing wall crossings and restricted/watch list administration in a live transaction environment.
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 * Strong written communication skills; comfortable drafting policy and escalation memos that could be reviewed by a regulator.
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 * Prior people management experience or demonstrated readiness to manage a direct report.
\n, * Experience in private markets, investment banking, secondary trading, or alternative trading systems (ATS).

## Description

Nasdaq Private Market is hiring a Vice President level Manager to lead the firm's Control Room function within the Compliance department. This role owns the day-to-day operation of information barriers between the firm's investment banking, research, ATS, capital markets, and advisory functions, manages the restricted and watch lists, oversees wall-crossing procedures for material nonpublic information (MNPI), and coordinates with trading and deal teams to prevent the misuse of confidential information. The role will have one direct report and reports directly to the Chief Compliance and Regulatory Officer (CCRO)., n
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 * Own and operate the firm's Control Room, serving as the central point of contact for information barrier questions across NPM Securities (BD), SecondMarket Financial (RIA), and NPM (parent company).
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 * Maintain and update the restricted list and watch list; process add/remove requests and document the rationale for each decision.
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 * Administer wall-crossing procedures: log requests, obtain approvals, track who has been brought over the wall, and ensure timely removal when a project concludes or MNPI is no longer applicable.
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 * Monitor for potential information barrier breaches; investigate exceptions and escalate confirmed issues to the CCRO with recommended remediation.
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 * Coordinate with Legal, Deal Teams, Sales & Trading, and any activity that could generate MNPI.
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 * Review and clear employee personal trading requests and outside business activity disclosures that intersect with restricted/watch list holdings.
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 * Draft, maintain, and periodically test the firm's Information Barriers Policy and Control Room procedures; recommend updates to reflect regulatory change or business growth.
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 * Develop and implement StarCompliance surveillance alerts tied to restricted securities and employee trading.
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 * Prepare Control Room metrics and reporting for internal compliance committees, and support FINRA/SEC examination requests related to information barriers.
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 * Manage, train, and develop the Control Room Analyst/Associate direct report; review their work product for accuracy and completeness.
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 * Deliver Control Room and MNPI training to employees, including onboarding sessions and periodic refreshers.
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 * Perform other Compliance duties as may be assigned.
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