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Compliance Manager, Control Room

JR United Kingdom

Chesterfield

On-site

GBP 60,000 - 80,000

Full time

2 days ago
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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.
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