Compliance Manager, Control Room

JR United Kingdom; Newcastle upon Tyne; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading investment banking client in Newcastle-upon-Tyne is seeking a Compliance Manager for a 6-month contract. The role involves managing control room tasks, ensuring regulatory compliance, and leading training for junior staff. Candidates should possess a professional qualification and experience in compliance within financial services.

Qualifications

• Prior experience in a compliance role within control room monitoring.
• Strong knowledge of compliance principles and regulations.
• Ability to work independently and manage time effectively.

Responsibilities

• Assist in managing Control Room tasks and supervising deliverables.
• Manage Watch, Grey, and Restricted Lists to resolve conflicts.
• Ensure compliance with regulatory requirements and related disclosures.

Skills

Compliance principles

Analytical skills

Risk management

Education

Professional qualification in compliance

Job description

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Compliance Manager, Control Room, Newcastle-upon-Tyne, Tyne and Wear

Client: Lorien

Location: Newcastle-upon-Tyne, Tyne and Wear, 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 seeking a Compliance Manager for a 6-month contract, with experience working in a control room within financial services.

Core responsibilities include:

• Assist in managing Control Room tasks, supervising deliverables, and acting as an escalation point for junior team members.
• Manage and control the Watch, Grey, and Restricted Lists, including resolving potential conflicts of interest.
• Support the implementation of control room policies and procedures across relevant business areas.
• Ensure compliance with regulatory requirements related to disclosures to the Takeover Panel, FCA, and other regulators.
• Review and approve research reports to ensure conflicts of interest are addressed.
• 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 and contribute to committee representations.
• Recommend improvements to monitoring plans and control room effectiveness.
• Deliver training and contribute to compliance knowledge sharing.

Knowledge, Skills, and Experience:

• Professional qualification and prior experience in a compliance role within control room monitoring.
• Strong knowledge of compliance principles, control room activities, and relevant regulations including Takeover Panel rules.
• Experience with Information Barriers and list management processes.
• Knowledge of Investment Research Clearance and UK regulatory framework.
• Excellent analytical, decision-making, and risk management skills.
• Ability to work independently with high autonomy and manage time effectively under pressure.