Compliance Manager, Control Room

JR United Kingdom; Crawley; On-site; GBP 50,000 - 85,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract in Crawley. The role focuses on managing control room activities, ensuring compliance with regulations, and supporting strategic initiatives. Ideal candidates will possess strong compliance knowledge, problem-solving skills, and the ability to work autonomously under pressure.

Qualifications

• Experience in compliance role within control room monitoring.
• Understanding of UK regulatory framework for banking.
• Experience with Watch/Grey and Restricted list processes.

Responsibilities

• Manage Control Room tasks and supervise deliverables.
• Ensure compliance with regulatory requirements.
• Identify solutions for compliance issues and manage projects.

Skills

Compliance principles

Analytical skills

Problem-solving skills

Education

Professional qualification in compliance

Tools

Investment Research Clearance

Job description

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Compliance Manager, Control Room, Crawley, West Sussex

Client: Lorien

Location: Crawley, West Sussex, 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 responsibilities:

• Assist in managing Control Room tasks, supervising deliverables, and acting as an escalation point for junior team members.
• Manage and control the Watch, Grey, and Restricted Lists, and resolve potential conflicts of interest.
• Support business areas in implementing control room policies and procedures.
• Ensure compliance with regulatory requirements related to disclosures to regulators like the FCA and Takeover Panel.
• Review research reports against the Grey/Watch and Restricted Lists for 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 the monitoring plan of control room activities.
• Identify opportunities to enhance control room effectiveness.
• Represent UK Compliance or CIB Compliance in committees.
• Contribute to compliance training delivery.

Knowledge, Skills, and Experience:

• Professional qualification and experience in a compliance role within control room monitoring.
• Strong knowledge of compliance principles related to control room activities.
• Understanding of Takeover Panel rules and disclosures.
• Knowledge of Information Barriers setup and processes.
• Experience with Watch/Grey and Restricted list processes.
• Experience with Investment Research Clearance.
• Understanding of UK regulatory framework for banking.
• Awareness of risk management concepts.
• Analytical skills with the ability to provide advice and recommendations.
• Problem-solving skills, decision-making, and risk management abilities.
• Ability to work independently with high autonomy.
• Organized, with the ability to prioritize and work under pressure and tight deadlines.