Compliance Manager, Control Room

6 Month Contract - Inside IR35 - Investment Banking

Our industry leading investment banking client is looking for a compliance manager on a 6 month contract, with experience working in a control room in financial services.

Core accountabilities of role:

Assist in the general management of Control Room tasks, including supervising the deliverables and acting

as an escalation point for more junior members of the team.

Manage and control the Watch, Grey and Restricted Lists and the identification and resolution of potential

conflicts of interest.

As a subject matter expert, support the relevant business and functions areas in implementing key control

room related policies and procedures for the territory.

Assist in ensuring meet its regulatory requirements in relation to disclosures to the Takeover Panel,

FCA and other regulators.

Review and approve research reports versus the Grey/Watch and Restricted Lists to ensure potential conflict

of interest is cleared.

Identify solutions for business or compliance issues, including complex and atypical problem solving.

Manage medium size projects, and contribute to strategic projects, influencing new initiatives and

proactively delivering procedure improvements.

Lead on training of junior staff

Makes innovative recommendations to drive improvement to the monitoring plan of the key activities of the

Control Room.

Identify opportunities to improve the effectiveness of the Control Room.

Contribute to committees by representing the UK Compliance function, or CIB Compliance.

Contribute to the delivery of training.

Knowledge, Skills and Experience:

Professional qualification and prior experience in a Compliance role in control room monitoring or

associated activity.

Excellent knowledge of Compliance principles and processes related to Control Room activities.

Excellent knowledge of Takeover Panel rules including relevant disclosures under rules 8.1 and 8.5.

Detailed knowledge of Information Barriers setup and processes.

Thorough knowledge and understanding of Watch/Grey and Restricted list processes.

Strong knowledge and experience of Investment Research Clearance.

Solid working knowledge of the UK regulatory framework and its application to banking.

Excellent awareness of risk and fundamental risk concepts.

Excellent analytical skills and an ability to translate knowledge and experience into advice and

recommendations.

Demonstrated ability to identify and solve complex problems, make sound decisions, and manage risks. This

includes critical thinking and ability to handle ambiguity.

Ability to work on ones own with a high level of autonomy.

Thorough and organised with an ability to prioritise and work under time-pressure and to tight deadlines.