Head of Information Barriers/Control Room Compliance
Job Location(s): US-CA-Los Angeles
Job ID: 2024-2065
Category: Legal/Compliance
Department: Compliance
Type: Regular Full-Time
Position Summary
The Head of Information Barriers/Control Room Compliance reports to the firm's Global Chief Compliance Officer and will be responsible for developing and managing the current compliance program oversight and policies for all control room efforts managing information barriers and handling material non-public information at the firm. This position will create and implement surveillance scenarios and conduct surveillance reviews of information barriers and trading by the firm and employees. This is an experienced professional on the Compliance team that collaborates closely with business groups across the firm, including Investment Compliance, Legal, and the front office investment teams to monitor compliance risk behaviors. The ideal candidate must have expert knowledge in the Securities Act of 1933 and the Securities Exchange Act of 1934 and a working knowledge of the Investment Advisers Act of 1940.
Essential Duties
- Handle and oversee all aspects of compliance as it relates to the firm's restricted trading lists and build out of the control room function.
- Provide advice, support and surveil adherence to the firm's Insider Trading and Market Manipulation Policy and Procedures and the Information Barrier Policy and Procedures and oversee communications between investment personnel on each parties' side.
- Participate as a chaperone in calls and meetings as well as maintain documentation of wall crossings.
- Conduct analysis as it relates to potential material non-public information.
- Evaluate and process personal trading and private information requests that are escalated as it pertains to the firm's restricted list.
- Conduct training as needed on related compliance/regulatory topics.
- Drive control room processes and mentor junior members of the Compliance team to build a robust program.
- Maintain current knowledge of regulatory changes, and update policies and procedures, as appropriate.
- Assist with regulatory examinations and audits.
- Manage projects and other support staff, as necessary.
- Collaborate with other compliance officers on the team for various team projects and/or tasks.
- Collaborate closely with in-house and external counsel to assess risk in relation to the firm's business practices and reporting control issues.
Required Qualifications
- Juris Doctor required.
- 8-10 years of relevant compliance related work experience.
- Solid understanding of the securities industry and the regulatory requirements related to the Securities Act of 1933 and the Securities Exchange Act of 1934 and the Investment Advisers Act of 1940 and the rules and regulations thereunder.
- Prior compliance experience with registered investment advisers, registered investment companies, and/or SEC or FINRA.
Professional Skills Qualifications
- Excellent interpersonal skills; demonstrated success in building and maintaining strong internal and external relationships.
- Strong leadership, organizational and time management skills; ability to effectively identify and prioritize the most critical tasks.
- Excellent written and verbal communication skills.
- A desire to continually improve processes by researching and implementing best practices.
- Exercises good judgment and maintains strict confidentiality.
- A team player with the ability and willingness to pitch in as needed in areas outside one's own core expertise.
Desired Qualifications
- Proficiency in Star Compliance, Bloomberg and other major software applications.
- Knowledge of registered investment companies and the Investment Company Act of 1940.
- Knowledge of fixed income, private credit, securitizations and asset backed finance is a plus.
Estimated Compensation:
Base Salary: For CA based position, the base salary range is $200K to $230K. This is an anticipated range for base salary only.
Other Compensation: Eligible to be considered for an annual discretionary bonus.
Benefits: Eligible for TCW's comprehensive benefits package. See more information here.
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