Compliance Manager, Control Room

JR United Kingdom; Doncaster; On-site; GBP 55,000 - 75,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract based in Doncaster. The role involves managing Control Room activities, ensuring compliance with regulations, and delivering training to junior staff. Candidates should possess extensive knowledge of Compliance principles and prior experience in similar settings.

Qualifications

• Prior experience in a Compliance role in control room monitoring.
• Excellent knowledge of UK regulatory framework and Compliance processes.
• Demonstrated ability to manage risks and solve complex problems.

Responsibilities

• Manage Control Room tasks and mentor junior staff.
• Ensure compliance with regulatory requirements and manage conflicts of interest.
• Contribute to strategic projects and develop training materials.

Skills

Compliance principles

Analytical skills

Problem solving

Critical thinking

Education

Professional qualification in Compliance

Job description

Social network you want to login/join with:

Compliance Manager, Control Room, Doncaster

Client: Lorien

Location: Doncaster, 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 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.
• Lead on training of junior staff.
• Make 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 one's own with a high level of autonomy.
• Thorough and organized with an ability to prioritize and work under time-pressure and to tight deadlines.