Compliance Manager, Control Room

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

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract in Peterborough. This role involves overseeing Control Room tasks, ensuring compliance with regulations, and supporting junior staff training. Ideal candidates will have experience in compliance monitoring and a strong understanding of related regulations.

Qualifications

• Experience in a Compliance role related to control room monitoring is required.
• Strong knowledge of compliance regulations, including Takeover Panel rules.
• Experience with Investment Research Clearance is preferred.

Responsibilities

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

Skills

Compliance principles

Problem-solving

Analytical skills

Decision-making

Organizational skills

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Peterborough

Client: Lorien

Location: Peterborough, 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 accountabilities of role:

• 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, 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 research reports against 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 of junior staff.
• Recommend improvements to the monitoring plan of 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.
• Strong knowledge of Compliance principles, control room activities, and relevant regulations including Takeover Panel rules.
• Understanding of Information Barriers and Watch/Grey/Restricted list processes.
• Experience with Investment Research Clearance.
• Familiarity with UK regulatory framework and risk concepts.
• Excellent analytical, decision-making, and problem-solving skills.
• Ability to work independently with high autonomy.
• Organized, able to prioritize, and work under pressure within tight deadlines.