Compliance Manager, Control Room

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

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract in Colchester. The role involves managing control room tasks and ensuring adherence to regulatory compliance, making it ideal for professionals with a strong background in financial services compliance.

Qualifications

• Experience in a compliance role related to control room monitoring.
• Strong understanding of compliance regulations.
• Experience with Investment Research Clearance.

Responsibilities

• Assist in managing control room tasks and supervise deliverables.
• Ensure compliance with regulatory requirements.
• Lead training for junior staff.

Skills

Compliance principles

Decision-making

Analytical skills

Problem-solving skills

Education

Professional qualification in compliance

Job description

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Compliance Manager, Control Room, Colchester

Client: Lorien

Location: Colchester, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Details:

• 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 seeking a Compliance Manager for a 6-month contract, with experience working in a control room within financial services.

Core responsibilities:

• Assist in managing control room tasks, supervise deliverables, and act as an escalation point for junior team members.
• Manage and control Watch, Grey, and Restricted Lists, and resolve potential conflicts of interest.
• Support the implementation of control room policies and procedures across relevant business areas.
• Ensure compliance with regulatory requirements, including disclosures to the Takeover Panel, FCA, and other regulators.
• Review and approve research reports against the Grey/Watch and Restricted Lists to identify conflicts of interest.
• Identify solutions for compliance issues and complex problems.
• Manage medium-sized projects and contribute to strategic initiatives.
• Lead training for junior staff.
• Recommend improvements to monitoring plans and control room activities.
• Identify opportunities to enhance control room effectiveness.
• Represent UK Compliance or CIB Compliance in committees.
• Deliver compliance training programs.

Knowledge, Skills, and Experience:

• Professional qualification and experience in a compliance role related to control room monitoring.
• Strong understanding of compliance principles, control room activities, and relevant regulations.
• Knowledge of Takeover Panel rules, Information Barriers, and list processes.
• Experience with Investment Research Clearance.
• Familiarity with UK banking regulatory framework and risk management.
• Excellent analytical, decision-making, and problem-solving skills.
• Ability to work independently with high autonomy.
• Organized, able to prioritize, and work under tight deadlines.