Compliance Manager, Control Room

JR United Kingdom; Ipswich; On-site; GBP 80,000 - 130,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract role in Ipswich. The successful candidate will be responsible for overseeing control room functions, managing compliance processes, and ensuring regulatory adherence. This position requires strong analytical and risk management skills, along with practical experience in compliance within financial services.

Qualifications

• Professional qualification and experience in a Compliance role within control room monitoring.
• Strong analytical, decision-making, and risk management skills.

Responsibilities

• Manage and control the Watch, Grey, and Restricted Lists.
• Ensure compliance with regulatory requirements regarding disclosures.
• Lead training for junior staff and manage control room tasks.

Skills

Analytical skills

Decision-making

Risk management

Compliance principles knowledge

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Ipswich

Client: Lorien

Location: Ipswich

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 deliverables and acting as an escalation point for junior team members.
• Manage and control the Watch, Grey, and Restricted Lists and resolve potential conflicts of interest.
• Support the implementation of key control policies and procedures related to control room activities.
• Ensure compliance with regulatory requirements regarding disclosures to authorities like the Takeover Panel and FCA.
• Review and approve research reports to ensure conflicts of interest are managed.
• Identify solutions for business or compliance issues, including complex problem solving.
• Manage medium-sized projects and contribute to strategic initiatives.
• Lead training for junior staff and contribute to committee representations.
• Recommend improvements to monitoring plans and control room effectiveness.
• Contribute to training delivery.

Knowledge, Skills, and Experience:

• Professional qualification and experience in a Compliance role within control room monitoring.
• Knowledge of Compliance principles, control room activities, and relevant regulations including Takeover Panel rules.
• Understanding of Information Barriers and list processes.
• Experience with Investment Research Clearance and UK regulatory framework.
• Strong analytical, decision-making, and risk management skills.
• Ability to work independently with high autonomy and manage time effectively under pressure.