Compliance Manager, Control Room

JR United Kingdom; London; On-site; GBP 60,000 - 85,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager in London for a 6-month contract. The role involves managing control room tasks, ensuring compliance with regulatory frameworks, and leading junior team members within a fast-paced environment. Ideal candidates will possess professional qualifications and extensive knowledge of compliance principles and control room operations.

Qualifications

• Experience in a compliance role within control room monitoring.
• Strong knowledge of compliance principles.
• Familiarity with UK regulatory framework applicable to banking.

Responsibilities

• Assist in managing Control Room tasks and conflicts of interest.
• Ensure regulatory compliance regarding disclosures.
• Manage medium-sized projects and lead training for junior staff.

Skills

Analytical skills

Advisory skills

Problem-solving

Organizational skills

Education

Professional qualification in compliance

Job description

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Compliance Manager, Control Room, London

Client: Lorien

Location: London, United Kingdom

Job Category: Other

EU work permit required: Yes

Job Views:

9

Posted:

10.06.2025

Expiry Date:

25.07.2025

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 the control room.
• Ensure regulatory compliance regarding disclosures to the Takeover Panel, FCA, and other regulators.
• Review and approve research reports against the Grey/Watch and Restricted Lists to clear potential conflicts of interest.
• 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 the monitoring plan of control room activities.
• Identify opportunities to enhance control room effectiveness.
• Represent the UK Compliance function or CIB Compliance in committees.
• Contribute to training delivery.

Knowledge, Skills and Experience:

• Professional qualification and experience in a compliance role within control room monitoring.
• Strong knowledge of compliance principles and control room activities.
• Familiarity with Takeover Panel rules and relevant disclosures.
• Knowledge of Information Barriers setup and processes.
• Understanding of Watch/Grey and Restricted list processes.
• Experience with Investment Research Clearance.
• Knowledge of UK regulatory framework applicable to banking.
• Awareness of risk and fundamental risk concepts.
• Excellent analytical and advisory skills.
• Ability to solve complex problems and manage risks.
• Autonomous work style with organizational skills.