Compliance Manager, Control Room

JR United Kingdom; Lincoln; On-site; GBP 70,000 - 100,000; Full time

Job summary

A leading investment banking client seeks a Compliance Manager for a 6-month contract in Lincoln. This position entails managing Control Room tasks, ensuring compliance with regulatory requirements, and leading junior staff. Candidates must possess a professional qualification in Compliance and experience in control room monitoring.

Qualifications

• Professional qualification and prior experience in a Compliance role in control room monitoring.
• Excellent knowledge of Compliance principles and processes related to Control Room activities.
• Ability to work independently with high autonomy.

Responsibilities

• Assist in the management of Control Room tasks and supervise junior team members.
• Manage Watch, Grey, and Restricted Lists; address conflicts of interest.
• Support business areas in regulatory compliance activities.

Skills

Compliance principles

Risk concepts

Analytical skills

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Lincoln

Client: Lorien

Location: Lincoln, United Kingdom

Job Category: Other

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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 as a subject matter expert.
• Assist in ensuring BNPP meets its regulatory requirements related 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 conflicts of interest are cleared.
• Identify solutions for business or compliance issues, including complex and atypical problem solving.
• Manage medium-sized projects and contribute to strategic initiatives, influencing new developments.
• Lead training of junior staff.
• 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.
• Contribute to committees by representing the UK Compliance function or CIB Compliance.
• Contribute to the delivery of training programs.

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.
• Good 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.
• Strong experience with Investment Research Clearance.
• Solid knowledge of the UK regulatory framework and its application to banking.
• Excellent awareness of risk concepts and ability to handle ambiguity.
• Analytical skills with the ability to translate knowledge into advice and recommendations.
• Proven ability to solve complex problems, make decisions, and manage risks.
• Ability to work independently with high autonomy.
• Organized with the ability to prioritize and work under tight deadlines.