Compliance Manager, Control Room

JR United Kingdom; Leicester; On-site; GBP 50,000 - 80,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract in Leicester. The role involves overseeing control room activities, managing compliance tasks, and ensuring adherence to regulatory requirements. Ideal candidates will possess extensive knowledge of compliance principles and a professional qualification in the field, along with proven analytical and problem-solving skills. This position offers high autonomy and the chance to lead junior staff training.

Qualifications

• Prior experience in a Compliance role in control room monitoring.
• Excellent knowledge of Compliance principles and Control Room activities.
• Strong understanding of Takeover Panel rules.

Responsibilities

• Assist in managing Control Room tasks and supervising junior members.
• Manage Watch, Grey, and Restricted Lists and identify conflicts.
• Support implementation of control-related policies as a subject matter expert.

Skills

Analytical Skills

Problem Solving

Risk Management

Regulatory Knowledge

Education

Professional qualification in Compliance

Job description

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Client:

Lorien

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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 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 as a subject matter expert.
• 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 initiatives.
• Lead training of junior staff and contribute to the delivery of training programs.
• 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 at committees.
• Contribute to the development and delivery of training.

Knowledge, Skills and Experience:

• Professional qualification and prior experience in a Compliance role in control room monitoring or related activities.
• Excellent knowledge of Compliance principles and processes related to Control Room activities.
• Strong understanding of Takeover Panel rules including relevant 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 knowledge of the UK regulatory framework and its application to banking.
• Good awareness of risk and fundamental risk concepts.
• Excellent 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 a high level of autonomy.
• Organized, with the ability to prioritize and work under pressure and tight deadlines.