Compliance Manager, Control Room

JR United Kingdom; Bath; On-site; GBP 60,000 - 90,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract. The ideal candidate will manage Control Room activities, ensure compliance with regulatory standards, and lead training sessions for junior staff. Strong analytical and problem-solving skills, along with a professional qualification in Compliance, are essential for this role.

Qualifications

• Experienced in a Compliance role with control room monitoring.
• Strong understanding of UK regulatory framework related to banking.
• Ability to work independently with high autonomy.

Responsibilities

• Manage Control Room tasks and supervise deliverables.
• Ensure compliance with regulatory requirements relating to the control room.
• Lead training sessions for junior staff.

Skills

Analytical skills

Problem-solving

Decision-making

Project management

Regulatory knowledge

Education

Professional qualification in Compliance

Job description

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6 Month Contract - Inside IR35 - Investment Banking

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

Core responsibilities of the role:

• Assist in managing Control Room tasks, supervise deliverables, and serve as an escalation point for junior team members.
• Manage and control the Watch, Grey, and Restricted Lists; identify and resolve potential conflicts of interest.
• Support the implementation of key control policies and procedures related to the control room for the territory.
• Ensure BNPP complies with regulatory requirements concerning disclosures to the Takeover Panel, FCA, and other regulators.
• Review and approve research reports against Grey/Watch and Restricted Lists to ensure conflicts of interest are addressed.
• Identify solutions for business or compliance issues, including complex problem-solving.
• Manage medium-sized projects and contribute to strategic initiatives, influencing new policies.
• Lead training sessions for junior staff.
• Recommend improvements to the monitoring plan of the Control Room’s key activities.
• Identify opportunities to enhance the effectiveness of the Control Room.
• Represent the UK Compliance function or CIB Compliance in committees.
• Contribute to compliance and control-related training delivery.

Knowledge, Skills, and Experience:

• Professional qualification and prior experience in a Compliance role within control room monitoring or related activities.
• Excellent understanding of Compliance principles and processes related to Control Room activities.
• Thorough knowledge of Takeover Panel rules, including disclosures under rules 8.1 and 8.5.
• Knowledge of Information Barriers setup and processes.
• Experience with Watch/Grey and Restricted list processes.
• Strong knowledge of Investment Research Clearance.
• Understanding of the UK regulatory framework as it applies to banking.
• Awareness of risk management and fundamental risk concepts.
• Excellent analytical skills with the ability to provide advice and recommendations.
• Proven ability to solve complex problems, make decisions, and manage risks, including critical thinking and handling ambiguity.
• Ability to work independently with high autonomy.
• Organized, with the ability to prioritize tasks and work under pressure within tight deadlines.