Compliance Manager, Control Room

JR United Kingdom; Norwich; 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 in Norwich. The role involves managing control room tasks, ensuring regulatory compliance, and working with junior staff to enhance compliance effectiveness. Ideal candidates will possess a professional qualification in compliance and extensive knowledge of Control Room operations.

Qualifications

• Professional qualification and experience in a Compliance role in control room monitoring are essential.
• Knowledge of Takeover Panel rules and UK regulatory framework is vital.
• Ability to solve complex problems and work autonomously.

Responsibilities

• Manage Control Room tasks and supervise deliverables.
• Ensure compliance with regulatory requirements and approvals.
• Contribute to training and enhance Compliance effectiveness.

Skills

Analytical skills

Problem solving

Decision making

Communication

Organizational skills

Education

Professional qualification in Compliance

Job description

Social network you want to login/join with:

Compliance Manager, Control Room, Norwich

Client: Lorien

Location: Norwich

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 as a subject matter expert 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 projects and improvements.
• Lead training for 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.
• 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 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.
• Experience with Investment Research Clearance.
• Solid knowledge of the UK regulatory framework and its application to banking.
• Good awareness of risk concepts.
• Excellent analytical skills and ability to translate knowledge into advice and recommendations.
• Proven ability to solve complex problems, make decisions, and manage risks, including critical thinking and handling ambiguity.
• Ability to work independently with high autonomy.
• Organized, with ability to prioritize and work under pressure and tight deadlines.