Compliance Manager, Control Room

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

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract in Cardiff. The successful candidate will oversee control room activities, ensuring compliance with regulations and managing junior staff. This role requires extensive experience in compliance within financial services, offering a dynamic position within a fast-paced environment.

Qualifications

• Prior experience in compliance roles related to control room monitoring.
• Strong understanding of UK regulatory framework.
• Experience with Watch/Grey and Restricted list processes.

Responsibilities

• Manage Control Room tasks and supervise deliverables.
• Ensure compliance with regulatory requirements.
• Lead training of junior staff.

Skills

Analytical skills

Problem-solving

Compliance knowledge

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Cardiff

Client: Lorien

Location: Cardiff, United Kingdom

Job Category: Other

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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 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-sized projects and contribute to strategic initiatives.
• Lead training of 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 in committees.
• Contribute to the delivery of training programs.

Knowledge, Skills and Experience:

• Professional qualification and prior experience in a Compliance role related to control room monitoring or similar 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.
• Knowledge of Information Barriers setup and processes.
• Experience with Watch/Grey and Restricted list processes.
• Experience with Investment Research Clearance.
• Understanding of the UK regulatory framework as it applies to banking.
• Awareness of risk and fundamental risk concepts.
• Strong analytical skills and ability to provide advice and recommendations.
• Ability to solve complex problems, make sound decisions, and manage risks.
• Ability to work independently with high autonomy.
• Organized, able to prioritize, and work under pressure within tight deadlines.