Compliance Manager, Control Room

JR United Kingdom; Oxford; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading investment banking client in Oxford is seeking a Compliance Manager for a 6-month contract. The ideal candidate will possess robust compliance experience and knowledge of regulatory requirements, specifically in a control room environment. Responsibilities include managing compliance tasks, ensuring regulation adherence, and leading junior staff training, offering a great opportunity for professionals looking to excel in a fast-paced financial setting.

Qualifications

• Experienced in compliance roles related to control room monitoring.
• Strong understanding of regulations and procedures.
• Ability to prioritize tasks and meet deadlines.

Responsibilities

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

Skills

Analytical skills

Problem-solving skills

Decision-making

Risk management

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Oxford District

Client: Lorien

Location: Oxford District, United Kingdom

Job Category: Other

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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 deliverables and acting 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 key control policies and procedures for the relevant business areas.
• Ensure compliance with regulatory requirements related to disclosures to the Takeover Panel, FCA, and other regulators.
• Review and approve research reports versus the Grey/Watch and Restricted Lists to clear potential 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.
• Recommend improvements to monitoring plans of the Control Room activities.
• Identify opportunities to enhance the effectiveness of the Control Room.
• Represent the UK Compliance function in committees.
• Contribute to training delivery.

Knowledge, Skills, and Experience:

• Professional qualification and experience in a Compliance role related to control room monitoring.
• Excellent knowledge of Compliance principles and processes for Control Room activities.
• Strong understanding of Takeover Panel rules and disclosures.
• Knowledge of Information Barriers setup and processes.
• Experience with Watch/Grey and Restricted list processes.
• Experience with Investment Research Clearance.
• Understanding of UK regulatory framework in banking.
• Awareness of risk management concepts.
• Analytical skills with the ability to provide advice and recommendations.
• Problem-solving skills, decision-making, and risk management.
• Ability to work independently with high autonomy.
• Organized, with the ability to prioritize and meet deadlines.