Compliance Manager, Control Room

JR United Kingdom; Exeter; On-site; GBP 50,000 - 75,000; Full time

Job summary

A prominent investment banking client seeks a Compliance Manager for a 6-month contract in Exeter. The role demands extensive experience in control room activities, regulatory compliance, and management of conflict-of-interest situations. Successful candidates will demonstrate strong analytical skills and the ability to drive improvements in compliance processes.

Qualifications

• Prior experience in a Compliance role in control room monitoring.
• Excellent knowledge of Takeover Panel rules.
• Strong understanding of UK regulatory framework and banking.

Responsibilities

• Assist in management of Control Room tasks and supervise junior team members.
• Manage Watch, Grey and Restricted Lists for potential conflicts.
• Lead training for junior staff and suggest improvements for the Control Room.

Skills

Analytical skills

Problem-solving

Knowledge of Compliance principles

Risk awareness

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, exeter

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Client:

Lorien

Location:

exeter, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

3

Posted:

06.06.2025

Expiry Date:

21.07.2025

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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.