Compliance Manager, Control Room

JR United Kingdom; Gloucester; On-site; GBP 60,000 - 90,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager to oversee Control Room activities on a 6-month contract. The ideal candidate will have professional qualifications and experience in compliance related to financial services, with responsibilities including managing compliance policies, training staff, and ensuring adherence to regulators. This challenging role offers the opportunity to make strategic contributions while maintaining high standards in compliance.

Qualifications

• Experience in a Compliance role related to control room monitoring.
• Strong knowledge of Takeover Panel rules and regulatory frameworks.
• Ability to work independently with high autonomy.

Responsibilities

• Manage Control Room tasks and ensure compliance with regulatory requirements.
• Review and approve research reports against conflict lists.
• Lead training of junior staff and contribute to strategic projects.

Skills

Analytical skills

Problem solving

Knowledge of compliance principles

Risk management

Organizational skills

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Gloucester

Client: Lorien

Location: Gloucester, 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 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-sized projects, contribute to strategic projects, and influence new initiatives.
• Lead training of junior staff.
• Make innovative recommendations to improve the monitoring plan of the Control Room's key activities.
• 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 programs.

Knowledge, Skills, and Experience:

• Professional qualification and prior experience in a Compliance role related to control room monitoring or similar activities.
• Excellent knowledge of Compliance principles and processes related to Control Room activities.
• Strong knowledge of Takeover Panel rules, including disclosures under rules 8.1 and 8.5.
• Detailed knowledge of Information Barriers setup and processes.
• Thorough understanding of Watch/Grey and Restricted list processes.
• Experience with Investment Research Clearance.
• Solid knowledge of the UK regulatory framework and its application to banking.
• Excellent awareness of risk concepts.
• Strong analytical skills with the ability to translate knowledge into advice and recommendations.
• Proven ability to solve complex problems, make sound decisions, and manage risks, including critical thinking and handling ambiguity.
• Ability to work independently with high autonomy.
• Organized, with the ability to prioritize and work under pressure and tight deadlines.