Head of Information Barriers/Control Room Compliance

Company: The TCW Group, Inc.
Location: New York
Posted on: May 24, 2025

Job Description:

Position SummaryThe Head of Information Barriers/Control Room Compliance reports to the firm's Global Chief Compliance Officer and is responsible for developing and managing the compliance program oversight and policies related to all control room efforts, including managing information barriers and handling material non-public information. This role involves creating and implementing surveillance scenarios and conducting reviews of information barriers and trading activities by the firm and its employees. The ideal candidate is an experienced professional in Compliance, collaborating closely with business groups such as Investment Compliance, Legal, and front office investment teams to monitor compliance risks. Expertise in the Securities Act of 1933 and the Securities Exchange Act of 1934, along with a working knowledge of the Investment Advisers Act of 1940, is required.Essential Duties

• Oversee compliance related to the firm's restricted trading lists and develop the control room function.
• Advise and support adherence to policies on Insider Trading, Market Manipulation, and Information Barriers, including overseeing communications related to these policies.
• Participate in calls and meetings as a chaperone and maintain documentation of wall crossings.
• Analyze potential material non-public information.
• Evaluate and process personal trading and private information requests related to the restricted list.
• Conduct training on compliance and regulatory topics as needed.
• Drive control room processes and mentor junior Compliance team members to strengthen the program.
• Stay updated on regulatory changes and revise policies accordingly.
• Assist with regulatory examinations and audits.
• Manage projects and support staff as necessary.
• Collaborate with team members on various projects and tasks.
• Work closely with in-house and external counsel to assess risks and report control issues.Required Qualifications
  • Juris Doctor degree is required.
  • At least 8 years of relevant compliance experience.
  • Strong understanding of securities industry regulations, including the Securities Act of 1933, Securities Exchange Act of 1934, and Investment Advisers Act of 1940.
  • Experience with registered investment advisers, investment companies, SEC, or FINRA compliance.Professional Skills Qualifications
    • Excellent interpersonal skills and ability to build relationships.
    • Strong leadership, organizational, and time management skills.
    • Excellent written and verbal communication skills.
    • Proactive in improving processes and implementing best practices.
    • Maintain confidentiality and exercise good judgment.
    • Team-oriented with flexibility to assist outside core responsibilities.Desired Qualifications
      • Proficiency in Star Compliance, Bloomberg, and other 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 advantageous.Estimated Compensation:Base Salary: Range of $200K to $230K, based on experience and qualifications.Other Compensation: Eligible for an annual discretionary bonus.Benefits: Eligible for TCW's comprehensive benefits package. More information is available .#LI-SW1
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Keywords: The TCW Group, Inc., Greenwich , Head of Information Barriers/Control Room Compliance, Other , New York, Connecticut