Compliance Manager, Control Room

JR United Kingdom; City Of London; 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 London. The role involves overseeing Control Room operations, ensuring compliance with regulations, and managing conflicts of interest. Candidates should have a professional qualification in Compliance and prior experience in control room monitoring.

Qualifications

• Prior experience in a Compliance role within control room monitoring.
• Excellent knowledge of compliance related to Control Room activities.
• Knowledge of Takeover Panel rules and UK regulatory framework.

Responsibilities

• Supervise Control Room tasks and manage deliverables.
• Control Watch, Grey, and Restricted Lists for conflicts of interest.
• Ensure regulatory compliance on disclosures to relevant bodies.

Skills

Compliance principles

Analytical skills

Problem solving

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, London (City of London)

Client: Lorien

Location: London (City of London), United Kingdom

Job Category: Other

EU work permit required: Yes

Job Views:

3

Posted:

16.06.2025

Expiry Date:

31.07.2025

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 the company meets 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 projects, influencing new initiatives.
• Lead 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.
• Represent the UK Compliance function or CIB Compliance in committees.
• 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 activity.
• Excellent knowledge of Compliance principles and processes related to Control Room activities.
• Good understanding of Takeover Panel rules, including relevant disclosures under rules 8.1 and 8.5.
• Detailed knowledge of Information Barriers setup and processes.
• Thorough understanding of Watch/Grey and Restricted list processes.
• Strong knowledge and experience of Investment Research Clearance.
• Solid working knowledge 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, including critical thinking and handling ambiguity.
• Ability to work independently with a high level of autonomy.
• Thorough and organized, with the ability to prioritize and work under pressure and tight deadlines.