Compliance Manager, Control Room

JR United Kingdom; Bedford; 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 in Bedford. The role includes overseeing control room activities, managing compliance risks, and leading junior staff. The successful candidate will have prior experience in compliance and a solid understanding of related regulatory frameworks.

Qualifications

• Prior experience in a Compliance role within control room monitoring.
• Excellent knowledge of Compliance principles in financial services.
• Strong understanding of UK regulatory framework.

Responsibilities

• Assist in management of Control Room tasks and supervise deliverables.
• Manage Watch, Grey, and Restricted Lists and resolve conflicts of interest.
• Lead training for junior staff and contribute to strategic initiatives.

Skills

Compliance principles and processes

Investment Research Clearance

Risk analysis

Problem solving

Ability to work independently

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Bedford

Client: Lorien

Location: Bedford, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Views:

3

Posted:

06.06.2025

Expiry Date:

21.07.2025

Job Description:

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.
• Support the relevant business and functions areas in implementing key control room related policies and procedures for the territory.
• Assist in ensuring BNPP meets 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 conflicts of interest are cleared.
• Identify solutions for business or compliance issues, including complex and atypical problem solving.
• Manage medium-sized projects and contribute to strategic initiatives, influencing new initiatives.
• Lead training of junior staff.
• Make innovative recommendations to improve the monitoring plan of the key activities of the Control Room.
• Identify opportunities to enhance the effectiveness of the Control Room.
• Represent the UK Compliance function or CIB Compliance in committees.
• Contribute to the delivery of training.

Knowledge, Skills, and Experience:

• Professional qualification and prior experience in a Compliance role in control room monitoring or related activity.
• Excellent knowledge of Compliance principles and processes related to Control Room activities.
• Strong understanding of Takeover Panel rules, including disclosures under rules 8.1 and 8.5.
• Detailed knowledge of Information Barriers setup and processes.
• Thorough understanding of Watch/Grey and Restricted list processes.
• Experience with Investment Research Clearance.
• Solid knowledge of the UK regulatory framework and its application to banking.
• Awareness of risk concepts and ability to analyze and advise accordingly.
• Ability to identify and solve complex problems, make decisions, and manage risks.
• Ability to work independently with high autonomy.
• Organized and capable of prioritizing tasks under tight deadlines.