Compliance Manager, Control Room

JR United Kingdom; Newport; On-site; GBP 50,000 - 75,000; Full time

Job summary

A leading investment banking company seeks a Compliance Manager for a 6-month contract in Newport. The role involves managing control room activities, ensuring regulatory compliance, and training junior staff. Candidates should possess a strong background in compliance monitoring and relevant professional qualifications.

Qualifications

• Experience in control room monitoring or similar compliance activities.
• Strong understanding of compliance regulations and processes.
• Ability to manage regulatory disclosures.

Responsibilities

• Manage compliance in the Control Room, overseeing deliverables.
• Control Watch, Grey and Restricted Lists, resolving conflicts of interest.
• Lead training for junior compliance staff.

Skills

Compliance principles

Risk analysis

Problem solving

Regulatory knowledge

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Newport

Client: Lorien

Location: Newport, 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 conflict of interest is 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.
• Make innovative recommendations to improve the monitoring plan of key Control Room activities.
• Identify opportunities to enhance the effectiveness of the Control Room.
• Represent the UK Compliance function or CIB Compliance in committees.
• Contribute to the delivery of training programs.

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 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 knowledge of Watch/Grey and Restricted list processes.
• Experience with Investment Research Clearance.
• Solid understanding of the UK regulatory framework applicable to banking.
• Excellent awareness of risk concepts and ability to analyze and advise accordingly.
• 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 efficiently under pressure and tight deadlines.