Compliance Manager, Control Room

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

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract in Hemel Hempstead. The role involves overseeing the control room tasks, ensuring compliance with regulatory requirements, and managing conflict of interest issues. Ideal candidates will possess strong compliance knowledge and extensive experience in relevant controls.

Qualifications

• Prior experience in a Compliance role in control room monitoring.
• Excellent knowledge of Takeover Panel rules.
• Ability to work independently with high autonomy.

Responsibilities

• Assist in managing Control Room tasks and supervise deliverables.
• Manage Watch, Grey, and Restricted Lists to resolve conflicts.
• Lead training of junior staff and contribute to strategic projects.

Skills

Compliance principles

Investment Research Clearance

Analytical skills

Problem solving

Knowledge of UK regulatory framework

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Hemel Hempstead

Client: Lorien

Location: Hemel Hempstead, 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 size projects, and contribute to strategic projects, influencing new initiatives.
• Lead on training of junior staff.
• Make innovative recommendations to improve 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, including critical thinking and handling ambiguity.
• Ability to work independently with a high level of autonomy.
• Thorough and organized with an ability to prioritize and work under time pressure and tight deadlines.