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We believe that one of the key strengths of Canaccord Genuity is our culture of partnership, collaboration and excellence. We are driven by our clients’ success and we are relentlessly committed to helping them achieve their financial goals. When our clients succeed, we succeed.

Working at Canaccord Genuity offers performance-driven individuals an opportunity to do the most rewarding work of their careers. Our employees experience the best of both worlds: access to global resources and capabilities, and the responsiveness and agility of an independently owned firm. 

In the US, we offer employment opportunities in our Capital Markets business, which has operations in New York, Boston and several key financial centres across the country.

We invite you to learn more by discovering our opportunities below or by or by making a submission using the General Application link at the bottom of this page.

Control Room Compliance Officer

This individual will act as a Senior Compliance Officer, based in Boston.  The successful candidate for this position will play an active role in both Control Room and general regulatory compliance efforts for the firm.

A successful candidate thrives in a collaborative team environment with the ability to simultaneously manage competing deadlines and tasks. Strong communications skills are required as the role will interact with various departments, staff, and management levels.

  • 5+ years of broker/dealer compliance, FINRA or SEC experience
  • Control Room Compliance (i.e. working with investment banking and research) a plus
  • Ability to identify key issues and obtain appropriate information for further analysis
  • Must demonstrate the ability to be highly analytical when collecting, analysing, and synthesizing information across various projects and reviews
  • BA or BS degree required
  • Series 7 and 24 required (otherwise need to pass exams within 90 days of hire)

Primary responsibility is to assist with Control Room functions including but not limited to:
  • Maintaining internal Watch and Restricted lists
  • Reviewing research publications with respect to the internal Watch list to ensure compliance with regulatory obligations
  • Chaperoning meetings between Research and Investment Banking
  • Providing guidance to departments in respect for permissible interactions with Research analysts
  • Providing guidance to the Research department with respect to any research restrictions during any investment banking mandates and any other Control Room related policies
  • Control Room related look-back testing

General compliance functions may include areas such as employee public appearance monitoring; employee personal trading; and special projects.

Location: Boston

Start Date: 2022-06-15

Department: Corporate

Company: Canaccord Genuity LLC

Reference: 15368175

More info