KBCMComplianceControlRoom

**Location:** 127 Public Square, Cleveland Ohio The Compliance Control Room Analyst/Officer is responsible for assisting in the day-to-day operations of the KBCM Control Room, including maintaining the firm's information barrier program, managing restricted and watch lists, reviewing transactions for potential conflicts of interest, and ensuring compliance with all applicable federal securities laws, FINRA rules, and firm policies and procedures. This role serves as a critical liaison between the Investment Banking, Capital Markets, Research, and Sales & Trading departments and the Compliance function, helping to ensure the firm's business activities are conducted in compliance with regulatory requirements governing the handling and control of material non-public information (MNPI). The position reports to the Deputy Chief Compliance Officer of KBCM. # **Key Responsibilities** ### **Information Barrier & MNPI Management** * Administer and maintain the firm's Watch List and Restricted List, ensuring timely additions, modifications, and removals based on deal activity and MNPI flows. * Monitor, advise on, and document all wall crossings, ensuring appropriate controls and approvals are in place before confidential information is shared across information barriers. * Track deal teams and ensure personnel with access to MNPI are properly identified and restricted from trading or tipping. ### **Conflicts of Interest & Deal Review** * Conduct conflict-of-interest reviews for KBCM investment banking transactions, new business engagements, and capital markets activities, escalating issues as appropriate. * Review potential conflicts between Research, Investment Banking, and Sales & Trading activities and ensure proper mitigation measures are applied. * Maintain and update the firm's conflicts monitoring system with accurate, real-time information. ### **Research & Regulatory Compliance** * Review equity and fixed income research publications for compliance with applicable re