Compliance Manager, Control Room

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

Job summary

A leading investment banking institution is looking for a Compliance Manager for a 6-month contract in Derby. This key role involves overseeing control room tasks, ensuring compliance with regulatory frameworks, and leading junior staff training. The ideal candidate will possess strong analytical skills and a professional qualification in Compliance, coupled with relevant experience in financial services.

Qualifications

• Experience in Compliance role related to control room monitoring.
• Strong knowledge of compliance principles and control room processes.
• Understanding of the UK regulatory framework as it applies to banking.

Responsibilities

• Manage Control Room tasks and supervise deliverables.
• Ensure compliance with regulatory requirements.
• Lead training sessions for junior staff.

Skills

Analytical skills

Problem solving

Organizational skills

Education

Professional qualification in Compliance

Job description

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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 of the role:

1. Assist in managing Control Room tasks, supervise deliverables, and act as an escalation point for junior team members.
2. Manage and control the Watch, Grey, and Restricted Lists, and resolve potential conflicts of interest.
3. Support the implementation of key control policies and procedures related to the control room for the relevant business areas.
4. Ensure compliance with regulatory requirements concerning disclosures to the Takeover Panel, FCA, and other regulators.
5. Review and approve research reports against the Grey/Watch and Restricted Lists to identify and clear conflicts of interest.
6. Identify solutions for business or compliance issues, including complex problem-solving.
7. Manage medium-sized projects and contribute to strategic initiatives, influencing new projects.
8. Lead training sessions for junior staff.
9. Recommend improvements to the monitoring plan of control room activities.
10. Identify opportunities to enhance the effectiveness of the Control Room.
11. Represent the UK Compliance function or CIB Compliance on committees.
12. Contribute to the delivery of training programs.

Knowledge, Skills, and Experience:

1. Professional qualification and prior experience in a Compliance role related to control room monitoring.
2. Strong knowledge of compliance principles and control room processes.
3. Knowledge of Takeover Panel rules, including disclosures under rules 8.1 and 8.5.
4. Understanding of Information Barriers setup and processes.
5. Experience with Watch/Grey and Restricted list processes.
6. Knowledge of Investment Research Clearance procedures.
7. Understanding of the UK regulatory framework as it applies to banking.
8. Awareness of risk concepts and ability to assess and manage risks.
9. Excellent analytical skills with the ability to provide advice and recommendations.
10. Proven ability to solve complex problems, make decisions, and handle ambiguity.
11. Ability to work independently with high autonomy.
12. Organized, capable of prioritizing, and able to work under pressure and tight deadlines.