Compliance AVP (Control Room)

Compliance Professionals; Greater London; On-site; GBP 55,000 - 75,000; Full time

Job summary

A prestigious banking firm in Greater London is seeking a Compliance Officer to manage Inside Information Disclosure and conflicts of interest. The role involves reviewing Personal Account Dealing requests and contributing to compliance systems improvements. Ideal candidates will have strong knowledge of regulatory frameworks and experience in a Control Room role within an investment bank. Exceptional leadership and communication skills are vital. This position promises a dynamic work environment and the opportunity to engage with key stakeholders.

Qualifications

• Proven experience in a Control Room related role within an investment bank or financial institution.
• Strong knowledge of information barriers and conflict management practices.
• Ability to navigate complex regulatory environments.

Responsibilities

• Managing Inside Information Disclosure and conflicts of interest.
• Reviewing Personal Account Dealing and Outside Business Activities.
• Participating in day-to-day Control Room operations.
• Contributing to updates on compliance procedures.

Skills

Information barriers management

Regulatory knowledge (e.g., FCA)

Leadership skills

Effective communication

Organizational skills

Attention to detail

Interpersonal skills

Job description

THE COMPANY:

Our client is a successful banking firm with a strong global presence across Wholesale and Capital Markets.

THE RESPONSIBILITIES:

• Managing Inside Information Disclosure
• Management of Conflict of interest
• Review of Personal Account Dealing
• Review of Outside Business Activities
• Address requests received by the Control Room and participate in day-to-day operations of Control Room activities
• Contribute to updates on procedures and resources
• Participate in the review of conflict of interest, to ensure conflicts are appropriately managed by the firm.
• Manage Information Barriers including the management of Inside Information.
• Manage the Watch List and Restricted List.
• Contribute and participate in monthly second line of defence control testing.
• Review and approve personal account dealing requests to mitigate the risk of insider dealing.
• Prepare Control Room MI
• Prepare documentation for dissemination
• Provide support to the compliance advisory teams on ad hoc projects.
• To keep up to date with legal and regulatory compliance developments by attending seminars
• To engage with stakeholders
• To identify potential improvements in compliance systems, reports and processes.
• To introduce more effective MI analysis, production and presentation.
• Perform any other Compliance related duties as required

EXPERIENCE REQUIRED:

• Proven experience in a Control Room related role within an investment bank or financial institution.
• Strong knowledge of information barriers, regulatory frameworks (e.g., FCA), and conflict management practices.
• Exceptional leadership, communication, and organizational skills, with a track record of building teams and implementing processes.
• Ability to navigate complex regulatory environments and influence stakeholders effectively.
• Strong attention to detail
• Excellent interpersonal and presentation skills
• Proven ability to manage competing priorities and deliver high-quality work within agreed deadlines.

For further information please contact Natalie Eshelby