Compliance Manager, Control Room

JR United Kingdom; Kingston upon Hull; On-site; GBP 45,000 - 65,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract in Kingston upon Hull. The role involves managing Control Room tasks, ensuring compliance with regulatory frameworks, and leading a junior staff training. Candidates must possess a professional compliance qualification and experience in a control room environment.

Qualifications

• Experience in Compliance role within control room monitoring.
• Knowledge of UK regulatory framework for banking.
• Familiarity with Takeover Panel rules.

Responsibilities

• Manage Control Room tasks and supervise deliverables.
• Ensure compliance with regulatory requirements.
• Lead training for junior staff.

Skills

Compliance principles

Analytical skills

Problem-solving skills

Risk management

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Kingston upon Hull, East Yorkshire

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Client:

Lorien

Location:

Kingston upon Hull, East Yorkshire, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

3

Posted:

06.06.2025

Expiry Date:

21.07.2025

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Job Description:

6 Month Contract - Inside IR35 - Investment Banking

Our industry-leading investment banking client is looking for a Compliance Manager for a 6-month contract, with experience working in a control room within financial services.

Core accountabilities of the role:

• Assist in managing Control Room tasks, supervise deliverables, and act as an escalation point for junior team members.
• Manage and control Watch, Grey, and Restricted Lists; identify and resolve potential conflicts of interest.
• Support the implementation of control room policies and procedures across relevant business areas.
• Ensure compliance with regulatory requirements related to disclosures to the Takeover Panel, FCA, and other regulators.
• Review and approve research reports against Grey/Watch and Restricted Lists to ensure conflicts 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.
• Recommend improvements to monitoring plans and control room activities.
• Identify opportunities to enhance the effectiveness of the Control Room.
• Represent the UK Compliance function in committees.
• Contribute to compliance training delivery.

Knowledge, Skills, and Experience:

• Professional qualification and experience in a Compliance role within control room monitoring or related activities.
• Strong 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.
• Understanding of Information Barriers setup and processes.
• Experience with Watch/Grey and Restricted List processes.
• Knowledge of Investment Research Clearance.
• Familiarity with the UK regulatory framework for banking.
• Awareness of risk concepts and ability to manage risks effectively.
• Excellent analytical, decision-making, and problem-solving skills.
• Ability to work autonomously and manage time effectively under pressure.