Compliance Manager, Control Room

JR United Kingdom; Milton Keynes; On-site; GBP 45,000 - 75,000; Full time

Job summary

A leading investment banking client is seeking a compliance manager for a 6-month contract to oversee control room tasks and ensure compliance with regulations. The role requires strong compliance knowledge, analytical skills, and the ability to manage projects effectively. Ideal for candidates with experience in financial services and a professional compliance qualification.

Qualifications

• Professional experience in a compliance role related to control room monitoring.
• Strong understanding of UK regulatory framework in banking.
• Ability to work independently with high autonomy.

Responsibilities

• Manage Control Room tasks and supervise deliverables.
• Ensure compliance with regulatory requirements.
• Lead training for junior staff.

Skills

Compliance principles

Control room activities

Analytical skills

Problem-solving skills

Decision-making skills

Regulatory knowledge

Education

Professional qualification in compliance

Job description

Social network you want to login/join with:

col-narrow-left

Client:

Lorien

Location:

Job Category:

Other

-

EU work permit required:

Yes

col-narrow-right

Job Views:

3

Posted:

06.06.2025

Expiry Date:

21.07.2025

col-wide

Job Description:

6 Month Contract - Inside IR35 - Investment Banking

Our industry-leading investment banking client is seeking a compliance manager for a 6-month contract, with experience working in a control room within financial services.

Core responsibilities:

• Assist in managing Control Room tasks, supervise deliverables, and act as an escalation point for junior team members.
• Manage Watch, Grey, and Restricted Lists; identify and resolve conflicts of interest.
• Support implementation of control room policies and procedures across relevant business areas.
• Ensure compliance with regulatory requirements, including disclosures to the Takeover Panel, FCA, and other regulators.
• Review research reports against control lists to identify potential conflicts of interest.
• Develop solutions for business or compliance issues, including complex problems.
• Manage medium-sized projects and contribute to strategic initiatives.
• Lead training for junior staff.
• Recommend improvements to monitoring plans and control room activities.
• Identify opportunities to enhance control room effectiveness.
• Represent UK Compliance or CIB Compliance on committees.
• Contribute to training delivery.

Knowledge, Skills, and Experience:

• Professional qualification and experience in a compliance role related to control room monitoring.
• Strong knowledge of compliance principles, control room activities, and relevant regulations.
• Understanding of Takeover Panel rules and disclosures.
• Knowledge of Information Barriers and list processes.
• Experience with Investment Research Clearance.
• Familiarity with UK regulatory framework in banking.
• Strong analytical, problem-solving, and decision-making skills.
• Ability to work independently with high autonomy.
• Organized, able to prioritize, and work under pressure.