Enable job alerts via email!

Compliance Manager, Control Room

JR United Kingdom

Dartford

On-site

GBP 50,000 - 75,000

Full time

2 days ago
Be an early applicant

Boost your interview chances

Create a job specific, tailored resume for higher success rate.

Job summary

A leading company in investment banking seeks a Compliance Manager for a 6-month contract in Dartford. The successful candidate will oversee control room activities, manage compliance tasks, and ensure adherence to regulatory requirements. Ideal applicants will have a strong background in compliance principles, excellent analytical skills, and the ability to effectively manage complex compliance scenarios.

Qualifications

  • Experience in compliance roles specific to control room monitoring.
  • Strong knowledge of UK regulatory frameworks and processes.
  • Ability to manage and solve complex compliance issues.

Responsibilities

  • Assist in management of Control Room tasks and supervise deliverables.
  • Manage Watch, Grey, and Restricted Lists for conflicts of interest.
  • Support in implementing control room related policies and procedures.

Skills

Compliance principles
Control Room activities
Analytical skills
Problem-solving

Education

Professional qualification in Compliance

Job description

Social network you want to login/join with:

Compliance Manager, Control Room, dartford

col-narrow-left

Client:

Lorien

Location:

dartford, United Kingdom

Job Category:

Other

-

EU work permit required:

Yes

col-narrow-right

Job Views:

3

Posted:

06.06.2025

Expiry Date:

21.07.2025

col-wide

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.

· As a subject matter expert, support the relevant business and functions areas in implementing key control

room related policies and procedures for the territory.

· Assist in ensuring BNPP meet 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 size projects, and contribute to strategic projects, influencing new initiatives and

· Lead on training of junior staff

· Makes innovative recommendations to drive improvement to the monitoring plan of the key activities of the

Control Room.

· Identify opportunities to improve 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

associated activity.

· Excellent knowledge of Compliance principles and processes related to Control Room activities.

· Excellent 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 and 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.

· Excellent awareness of risk and fundamental risk concepts.

· Excellent analytical skills and an ability to translate knowledge and experience into advice and

recommendations.

· Demonstrated ability to identify and solve complex problems, make sound decisions, and manage risks. This

includes critical thinking and ability to handle ambiguity.

· Ability to work on ones own with a high level of autonomy.

· Thorough and organised with an ability to prioritise and work under time-pressure and to tight deadlines.

Get your free, confidential resume review.
or drag and drop a PDF, DOC, DOCX, ODT, or PAGES file up to 5MB.

Similar jobs

Compliance Manager, Control Room

JR United Kingdom

Colchester

On-site

GBP 60.000 - 80.000

Today
Be an early applicant

Compliance Manager, Control Room

JR United Kingdom

Crawley

On-site

GBP 50.000 - 85.000

Today
Be an early applicant

Compliance Manager, Control Room

JR United Kingdom

Brighton

On-site

GBP 50.000 - 80.000

Today
Be an early applicant

Compliance Manager, Control Room

JR United Kingdom

Basildon

On-site

GBP 50.000 - 80.000

Today
Be an early applicant

Compliance Manager, Control Room

JR United Kingdom

Woking

On-site

GBP 60.000 - 100.000

Today
Be an early applicant

Compliance Manager, Control Room

JR United Kingdom

Bedford

On-site

GBP 60.000 - 90.000

Today
Be an early applicant

Compliance Manager, Control Room

JR United Kingdom

Guildford

On-site

GBP 60.000 - 80.000

Today
Be an early applicant

Compliance Manager, Control Room

JR United Kingdom

Hemel Hempstead

On-site

GBP 60.000 - 90.000

Today
Be an early applicant

Compliance Manager, Control Room

JR United Kingdom

Slough

On-site

GBP 50.000 - 70.000

Today
Be an early applicant