Compliance Manager, Control Room

JR United Kingdom; Birmingham; On-site; GBP 50,000 - 80,000; Full time

Job summary

A leading investment banking client seeks a Compliance Manager for a 6-month contract in Birmingham. The ideal candidate will have a strong background in compliance, particularly in control room monitoring, and will be tasked with supervising team deliverables, managing critical lists, and ensuring regulatory requirements are met. This role requires excellent analytical skills, the ability to solve complex problems, and a high level of autonomy.

Qualifications

• Experience in Compliance role in control room monitoring.
• Strong understanding of UK regulatory framework.
• Excellent analytical skills and problem-solving ability.

Responsibilities

• Oversee Control Room tasks and manage the Watch, Grey, and Restricted Lists.
• Support in regulatory compliance and lead training for junior staff.
• Identify and resolve potential compliance issues.

Skills

Compliance Principles

Risk Awareness

Analytical Skills

Education

Professional Qualification in Compliance

Job description

Social network you want to login/join with:

Compliance Manager, Control Room, Birmingham

Client: Lorien

Location: Birmingham, 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 as a subject matter expert.
• Assist in ensuring BNPP meets its regulatory requirements regarding 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 developments.
• Lead training for junior staff.
• Make innovative recommendations to improve 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 on committees.
• Contribute to the delivery of training programs.

Knowledge, Skills, and Experience:

• Professional qualification and prior experience in a Compliance role in control room monitoring or related activities.
• 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 knowledge of Watch/Grey and Restricted list processes.
• Experience with Investment Research Clearance.
• Solid understanding of the UK regulatory framework as it applies to banking.
• Awareness of risk and fundamental risk concepts.
• Excellent analytical skills with the ability to translate knowledge into advice and recommendations.
• Ability to identify and solve complex problems, make sound decisions, and manage risks, including critical thinking and handling ambiguity.
• Ability to work independently with a high level of autonomy.
• Organized, with the ability to prioritize and work under pressure and tight deadlines.