Compliance Manager, Control Room

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

Job summary

A leading investment banking client in High Wycombe seeks a Compliance Manager for a 6-month contract. The role involves managing control room activities, ensuring regulatory compliance, and leading junior staff. Candidates must possess strong knowledge of compliance principles, excellent analytical skills, and previous experience in similar roles.

Qualifications

• Prior experience in a Compliance role related to control room monitoring.
• Strong understanding of Takeover Panel rules and compliance processes.
• Ability to work independently with high autonomy.

Responsibilities

• Assist in the general management of Control Room tasks.
• Manage and control Watch, Grey, and Restricted Lists.
• Lead training of junior staff and identify solutions for compliance issues.

Skills

Compliance principles

Analytical skills

Problem-solving

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, High Wycombe

Client: Lorien

Location: High Wycombe, 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 regarding 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 and contribute to strategic projects, influencing new initiatives.
• Lead training of junior staff.
• Make innovative recommendations to improve the monitoring plan of the 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 related to control room monitoring or similar activities.
• Excellent knowledge of Compliance principles and processes related to Control Room activities.
• Strong understanding of Takeover Panel rules, including disclosures under rules 8.1 and 8.5.
• Detailed knowledge of Information Barriers setup and processes.
• Thorough knowledge of Watch/Grey and Restricted list processes.
• Experience with Investment Research Clearance.
• Solid understanding of the UK regulatory framework and its application to banking.
• Awareness of risk and fundamental risk concepts.
• Excellent analytical skills and ability to translate knowledge into advice and recommendations.
• Ability to identify and 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.