Compliance Manager, Control Room

JR United Kingdom; Sheffield; On-site; GBP 50,000 - 80,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract in Sheffield. The role involves managing compliance tasks in a control room environment, ensuring adherence to regulatory requirements, and training junior staff. Ideal candidates will have significant compliance experience in financial services and strong problem-solving skills.

Qualifications

• Prior experience in a Compliance role in control room monitoring.
• Strong understanding of Takeover Panel rules and relevant disclosures.
• Experience with Investment Research Clearance.

Responsibilities

• Manage and control Watch, Grey, and Restricted Lists.
• Assist in ensuring regulatory requirements are met.
• Lead training of junior staff.

Skills

Compliance principles

Analytical skills

Problem-solving

Regulatory knowledge

Organizational skills

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Sheffield, South Yorkshire

Client: Lorien

Location: Sheffield, South Yorkshire, 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 meet 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, contribute to strategic projects, and influence new 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.
• Represent the UK Compliance function or CIB Compliance in committees.
• Contribute to the delivery of training.

Knowledge, Skills, and Experience:

• Professional qualification and prior experience in a Compliance role in control room monitoring or related activity.
• Excellent knowledge of Compliance principles and processes related to Control Room activities.
• Strong understanding of Takeover Panel rules, including relevant disclosures under rules 8.1 and 8.5.
• Knowledge of Information Barriers setup and processes.
• Thorough knowledge of Watch/Grey and Restricted list processes.
• Experience with Investment Research Clearance.
• Understanding of the UK regulatory framework and its application to banking.
• Awareness of risk and fundamental risk concepts.
• Excellent analytical skills and ability to translate knowledge into advice and recommendations.
• Ability to identify and solve complex problems, make sound decisions, and manage risks.
• Ability to work independently with high autonomy.
• Organized with the ability to prioritize and work under pressure and tight deadlines.