Control Room Officer - Compliance

New York, NY

Full Time

FINANCE

Mid Level

Control Room Officer – Compliance (Onsite | New York, NY)

A high-growth fintech company in the digital asset space is seeking a Control Room Officer to support the execution and ongoing development of its Control Room function. This role is critical to maintaining the integrity of information barriers, managing material non-public information (MNPI), and ensuring regulatory compliance across all business lines.

What you’ll do:

Execute and mature the Control Room function and strategy.
Maintain restricted and watch lists; oversee wall crossings and conflict of interest controls.
Monitor employee personal account dealings and trading activity.
Ensure compliance with insider trading rules and information barrier requirements.
Support regulatory inquiries and internal investigations.
Collaborate with Legal, Compliance, HR, and business units to manage sensitive information flows.
Educate employees on Control Room policies, obligations, and best practices.

What you bring:

5–7 years of Control Room or compliance experience within financial services.
Strong understanding of securities regulations, MNPI handling, and insider trading rules.
Experience managing restricted lists, wall crossings, and information barriers.
Excellent communication and analytical skills; detail-oriented with strong organizational ability.
Ability to thrive in a fast-paced, high-pressure environment with sound judgment and ethics.
Experience with investment banking operations or financial markets preferred.

Compensation & Benefits:

$140K–$160K base salary + bonus + equity
Relocation assistance available
100% employer-paid health insurance (employee & dependents)
401k match up to 4%
Paid parental leave, vacation, and holidays
Startup environment with career growth opportunities

This is an on-site role based in New York, NY.

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Control Room Officer - Compliance

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