Compliance Manager, Control Room

JR United Kingdom; Maidstone; On-site; GBP 60,000 - 90,000; Full time

Job summary

A leading investment banking client seeks a Compliance Manager for a 6-month contract in Maidstone. The role involves overseeing control room activities, ensuring compliance, and leading junior staff training. Applicants should possess a relevant professional qualification and extensive knowledge of compliance principles and regulatory frameworks.

Qualifications

• Prior experience in a Compliance role related to control room monitoring.
• Excellent knowledge of Takeover Panel rules and UK regulations.
• Ability to prioritize tasks and meet deadlines.

Responsibilities

• Manage Control Room tasks and resolve conflicts of interest.
• Assist in compliance with regulatory requirements and disclosures.
• Lead training of junior staff and contribute to compliance programs.

Skills

Compliance Principles

Regulatory Knowledge

Conflict Resolution

Project Management

Training and Development

Education

Professional Compliance Qualification

Job description

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Compliance Manager, Control Room, Maidstone

Client: Lorien

Location: Maidstone, 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 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 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 projects and improvements.
• Lead training of junior staff and contribute to the delivery of compliance 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.

Knowledge, Skills, and Experience:

• Professional qualification and prior experience in a Compliance role related to control room monitoring or similar activities.
• Excellent knowledge of Compliance principles, processes, and regulations related to Control Room activities.
• Strong understanding of Takeover Panel rules, including disclosures under rules 8.1 and 8.5.
• Knowledge of Information Barriers setup and processes.
• Thorough knowledge of Watch/Grey and Restricted list processes.
• Experience with Investment Research Clearance procedures.
• Solid understanding of the UK regulatory framework as it applies to banking.
• Awareness of risk concepts and ability to analyze and advise on compliance issues.
• Ability to work independently with high autonomy, prioritize tasks, and meet tight deadlines.