Compliance Manager, Control Room

JR United Kingdom; Nottingham; On-site; GBP 60,000 - 85,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract in Nottingham. This role involves overseeing control room activities, ensuring regulatory compliance, and managing a team to enhance operational effectiveness in compliance-related tasks.

Qualifications

• Experience in a Compliance role within control room monitoring.
• Knowledge of Takeover Panel rules and UK regulatory framework.
• Ability to work independently and manage priorities effectively.

Responsibilities

• Manage Control Room tasks and supervise junior team members.
• Ensure compliance with regulatory requirements and resolve conflicts.
• Lead training for junior staff and contribute to committee work.

Skills

Analytical skills

Problem-solving skills

Decision-making skills

Education

Professional qualification in Compliance

Job description

Compliance Manager, Control Room, Nottingham

Our industry-leading investment banking client is looking for a Compliance Manager for a 6-month contract, inside IR35, with experience working in a control room within financial services.

Core responsibilities of the role:

• Assist in managing Control Room tasks, supervise deliverables, and act as an escalation point for junior team members.
• Manage and control the Watch, Grey, and Restricted Lists, and resolve 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 against the Grey/Watch and Restricted Lists to identify conflicts of interest.
• 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 activities.
• Identify opportunities to enhance the effectiveness of the Control Room.
• Contribute to training delivery and represent the UK Compliance function on committees.

Knowledge, Skills, and Experience:

• Professional qualification and experience in a Compliance role within control room monitoring or related activities.
• 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, problem-solving, and decision-making skills.
• Ability to work independently with high autonomy, prioritize tasks, and meet tight deadlines.