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Control Room Specialist

Business and Financial Operations

New York, NY

Cowen Inc. is seeking an VP / Director to join its Compliance Department in New York. 

The primary areas of responsibility will be performing core compliance “Control Room” functions which include, but are not limited to, research review and clearance, maintaining the Firm’s Watch and Restricted List, chaperoning interaction between Research and Investment Banking personnel, conflict management, trading surveillance, handling regulatory inquiries, interacting with regulatory examiners and internal auditors, and providing advice and guidance to business partners.

Requirements

The following are the minimum requirements for the position

  • At least 5-7 years relevant experience
  • A working knowledge of applicable FINRA rules, SEC rules, and relevant industry standards
  • Ability to work independently as well as part of a team
  • Highly organized, detail oriented and proactive
  • Ability to comfortably interact with senior professionals and clients in a professional setting
  • High levels of ethics, integrity and judgment
  • Strong verbal and written communication skills
  • Ability to take a pragmatic, commercial approach to compliance while achieving desired outcomes
  • Securities Licenses preferred
  • Willing to work flexible hours and weekends

As part of its hiring process, Cowen verifies identity and eligibility to work in the United States as required by law. At this time, Cowen Inc. will not sponsor a new applicant for an employment visa for this position.

Company Profile:

Cowen Inc. (“Cowen” or the “Company”) is a diversified financial services firm offering investment banking services, equity and credit research, sales and trading, prime brokerage, global clearing, commission management services and actively managed alternative investment products. Cowen focuses on delivering value-added capabilities to our clients in order to help them outperform. Founded in 1918, the Company is headquartered in New York and has offices worldwide. Learn more at Cowen.com