Compliance Manager, Control Room

JR United Kingdom; Luton; On-site; GBP 60,000 - 84,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract in Luton. The role involves overseeing Control Room management and ensuring compliance with regulations while supporting business functions. Candidates should have robust experience in compliance monitoring within financial services, with strong project management and problem-solving skills.

Qualifications

• Experience in a Compliance role focused on control room monitoring.
• Strong understanding of Takeover Panel rules and the UK regulatory framework.
• Proven ability to work independently and manage risks effectively.

Responsibilities

• Assist in managing Control Room tasks and supervising deliverables.
• Manage Watch, Grey, and Restricted Lists and resolve conflicts of interest.
• Ensure compliance with regulatory requirements and training of junior staff.

Skills

Compliance principles

Problem-solving

Critical thinking

Risk management

Communication

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Luton, Bedfordshire

Client: Lorien

Location: Luton, Bedfordshire, United Kingdom

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 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.
• Assist in ensuring BNPP meets 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 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 policies and procedures.
• 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.
• Strong understanding of Takeover Panel rules, including disclosures under rules 8.1 and 8.5.
• Detailed knowledge of Information Barriers setup and processes.
• Thorough understanding 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 analyze and 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 high autonomy.
• Organized, with the ability to prioritize and work under tight deadlines.