Compliance Manager, Control Room

JR United Kingdom; Plymouth; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract in Plymouth. The role involves overseeing control room activities, ensuring compliance with regulatory requirements, and training junior staff. The ideal candidate should have significant experience in compliance within financial services and a strong understanding of UK regulatory frameworks.

Qualifications

• Prior experience in a Compliance role related to control room monitoring.
• Excellent knowledge of Compliance processes and Takeover Panel rules.
• Ability to work independently with high autonomy.

Responsibilities

• Manage and control the Watch, Grey, and Restricted Lists.
• Assist in the management of Control Room tasks and supervise deliverables.
• Lead training of junior staff and contribute to strategic initiatives.

Skills

Compliance principles

Analytical skills

Risk management

Problem solving

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Plymouth

Client: Lorien

Location: Plymouth, 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.
• Assist in ensuring BNPP meets its regulatory requirements in relation to 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.
• Lead training of 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.
• Contribute to committees by representing the UK Compliance function or CIB Compliance.
• Contribute to the delivery of training.

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.
• Excellent knowledge of Takeover Panel rules, including relevant 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.
• Strong knowledge and experience of Investment Research Clearance.
• Solid understanding of the UK regulatory framework and its application to banking.
• Excellent awareness of risk and fundamental risk concepts.
• Excellent analytical skills with the ability to translate knowledge into advice and recommendations.
• 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 under pressure and tight deadlines.