Compliance Manager - Control Room

ZipRecruiter; City Of London; Hybrid; GBP 60,000 - 80,000; Full time

Job summary

A prominent investment bank in London is looking for a Compliance Manager to join their Control Room team. This role involves managing compliance for material non-public information and ensuring conflict of interest controls. Ideal candidates should have experience in control room compliance and strong knowledge of UK regulatory frameworks. The position offers high autonomy with a strategic impact in a hybrid work environment.

Qualifications

• Proven experience in a control room compliance role.
• Strong knowledge of UK regulatory frameworks.
• Excellent analytical, communication, and stakeholder management skills.

Responsibilities

• Manage Watch, Grey, and Restricted Lists.
• Oversee research clearance and regulatory disclosures.
• Lead training and support junior staff.
• Drive improvements in control room procedures and monitoring.
• Provide expert compliance advice and contribute to strategic projects.

Skills

Experience in a control room compliance role

Knowledge of UK regulatory frameworks

Analytical skills

Communication skills

Stakeholder management skills

Job description

Overview

Compliance Manager – Control Room | Industry: Investment Banking | Location: London (Hybrid – 2-3 days/week in office) | Rate: £550–600/day (Inside IR35)

Our client, a leading player in the investment banking sector, is seeking a Compliance Manager (VP level) to join their UK Control Room team. This role supports the management of material non-public information and conflict of interest controls across private side activities including Global Banking, Capital Markets, and FIC.

Key Responsibilities

• Manage Watch, Grey, and Restricted Lists
• Oversee research clearance and regulatory disclosures
• Lead training and support junior staff
• Drive improvements in control room procedures and monitoring
• Provide expert compliance advice and contribute to strategic projects

Requirements

• Proven experience in a control room compliance role
• Strong knowledge of UK regulatory frameworks, Takeover Panel rules, and investment research clearance
• Excellent analytical, communication, and stakeholder management skills

This is a non-management role with high autonomy and strategic impact.