Compliance Manager, Control Room

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

Job summary

A leading investment banking firm is seeking a Compliance Manager for a 6-month contract, focusing on regulatory compliance and control room management. This is a key role requiring strong analytical and problem-solving skills, aiming to enhance compliance processes while managing a team and projects effectively.

Qualifications

• Prior experience in a Compliance role related to control room monitoring.
• Excellent knowledge of Compliance principles and processes.
• Solid understanding of UK regulatory framework in banking.

Responsibilities

• Assist in managing Control Room tasks and supervising deliverables.
• Manage Watch, Grey, and Restricted Lists to resolve conflicts.
• Support implementation of key Control Room policies.

Skills

Analytical skills

Problem-solving

Regulatory compliance knowledge

Project management

Education

Professional qualification in Compliance

Job description

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Client:

Lorien

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Job Category:

Other

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EU work permit required:

Yes

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Job Views:

3

Posted:

06.06.2025

Expiry Date:

21.07.2025

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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.
• 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 and relevant disclosures under rules 8.1 and 8.5.
• Knowledge of Information Barriers setup and processes.
• Thorough knowledge of Watch/Grey and Restricted list processes.
• Experience with Investment Research Clearance.
• Solid knowledge of the UK regulatory framework as it applies to banking.
• Awareness of risk and fundamental risk concepts.
• Excellent analytical skills and 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.