Compliance Manager, Control Room

JR United Kingdom; Glasgow; On-site; GBP 60,000 - 85,000; Full time

Job summary

A leading investment banking firm is looking for a Compliance Manager for a 6-month contract in Glasgow. The role involves supervising compliance activities, ensuring adherence to regulations, and managing conflicts of interest in a dynamic control room environment. Candidates should have solid compliance experience, particularly in the financial sector, and strong problem-solving and project management skills.

Qualifications

• Prior experience in a compliance role in control room monitoring or related activity.
• Excellent knowledge of rules related to Control Room activities.
• Ability to manage risks and solve complex problems.

Responsibilities

• Assist in the general management of Control Room tasks.
• Manage and control Watch, Grey, and Restricted Lists.
• Support regulatory requirement compliance and training of junior staff.

Skills

Compliance principles

Problem solving

Project management

Regulatory knowledge

Analytical skills

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Glasgow

Client: Lorien

Location: Glasgow, 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.
• Support the relevant business and functions areas in implementing key control room related policies and procedures for the territory.
• Assist in ensuring BNPP meets 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-sized projects, contribute to strategic initiatives, and influence new initiatives.
• Lead training of junior staff.
• Make innovative recommendations to improve the monitoring plan of key activities of the Control Room.
• Identify opportunities to enhance the effectiveness of the Control Room.
• Represent the UK Compliance function or CIB Compliance in committees.
• Contribute to the delivery of training.

Knowledge, Skills, and Experience:

• Professional qualification and prior experience in a Compliance role in control room monitoring or related activity.
• Excellent knowledge of Compliance principles and processes related to Control Room activities.
• Knowledge of Takeover Panel rules, including disclosures under rules 8.1 and 8.5.
• Knowledge of Information Barriers setup and processes.
• Thorough understanding of Watch/Grey and Restricted list processes.
• Experience with Investment Research Clearance.
• Knowledge of UK regulatory framework and its application to banking.
• Awareness of risk concepts and ability to analyze and advise accordingly.
• Ability to identify and solve complex problems, make decisions, and manage risks.
• High level of autonomy and organizational skills.
• Ability to prioritize and work under tight deadlines.