Group Description: The Control Room is a specialized group within the Compliance Department responsible for maintaining the firm’s Information Barriers.

What is the position? Evercore seeks to hire an experienced Associate for its Control Room group located in New York, NY.

Primary Responsibilities: The role will interact daily with members of the firm’s Investment Banking and Research departments as well as other Legal and Compliance personnel. The role requires a professional and diplomatic individual with the ability to multitask and prioritize tasks accordingly.

• Maintain the Firm’s Watch List and Restricted Lists
• Review research reports to ensure adherence to applicable SEC and FINRA Rules and Firm policy.
• Effect Wall Crossings and conduct related surveillance activities.
• Chaperone Investment Banking and Research Communications and provide guidance regarding permissible activities.
• Conduct surveillance activities including Personal Trading analysis.
• Participate in drafting related policies and procedures.
• Hybrid work schedule which includes rotational weekend coverage

Specific Qualifications:

• 2+ years of Control Room or Compliance related experience preferred.
• Possess a general understanding of financial markets and/or securities regulation and rules.
• Ability to work independently and collaboratively with other members of the team and Compliance Department.
• High levels of ethics, integrity, and judgment.
• Ability to work as a member of a team in a high-pressure, high-risk, fast-paced environment.
• Detail-oriented with ability to multitask, organize and prioritize workflow.
• BS/BA degree (Series 7, MBA, or JD a plus).
• Excellent written and verbal communication skills.

About Evercore: Evercore (NYSE: EVR) is a premier global independent investment banking advisory firm. We are dedicated to helping our clients achieve superior results through trusted independent and innovative advice on matters of strategic significance to boards of directors, management teams and shareholders – including mergers and acquisitions, shareholder advisory, restructurings, and capital structure. Evercore also assists clients in raising public and private capital, delivers equity research, equity sales and agency trading execution as well as provides wealth and investment management services to high-net-worth individuals. Founded in 1995, the Firm is headquartered in New York and maintains offices and affiliate offices in major financial centers in North America, Europe, the Middle East and Asia. For more information, please visit www.evercore.com.

Inclusion and Equal Opportunity Employment: Evercore is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally-protected factors.

Expected Base Salary Range: $110,000 - $130,000