Compliance Manager, Control Room

JR United Kingdom; Chesterfield; On-site; GBP 60,000 - 80,000; Full time

Job summary

Une entreprise de banque d'investissement recherche un Compliance Manager pour un contrat de 6 mois à Chesterfield. Le candidat idéal doit avoir une expérience en supervision des activités de la salle de contrôle, avec une bonne connaissance des processus réglementaires. Ce rôle consiste à gérer le respect des règles du Takeover Panel et à résoudre les conflits potentiels.

Qualifications

• Expérience préalable en tant que Compliance Manager dans une salle de contrôle.
• Connaissance approfondie des principes de conformité liés aux activités de la salle de contrôle.
• Compréhension solide du cadre réglementaire du Royaume-Uni.

Responsibilities

• Gérer les tâches de la salle de contrôle et superviser les livrables.
• Contrôler les listes de surveillance et résoudre les conflits d'intérêts.
• Contribuer à la formation des membres juniors de l'équipe.

Skills

Expertise en conformité

Compétences analytiques

Résolution de problèmes complexes

Education

Qualification professionnelle en conformité

Job description

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Compliance Manager, Control Room, Chesterfield

Client: Lorien

Location: Chesterfield, 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 meet 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 projects, influencing new initiatives.
• Lead on 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.
• Contribute to committees by representing the UK Compliance function or CIB Compliance.
• 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 activities.
• Excellent knowledge of Compliance principles and processes related to Control Room activities.
• Strong knowledge of Takeover Panel rules including relevant 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 of Investment Research Clearance.
• Solid understanding of the UK regulatory framework and its application 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.
• Ability to work independently with high autonomy.
• Organized, with the ability to prioritize and work under pressure and tight deadlines.