Compliance Manager, Control Room

JR United Kingdom; Stevenage; On-site; GBP 60,000 - 90,000; Full time

Job summary

A leading financial services firm is seeking a Compliance Manager for a 6-month contract in Stevenage. This role involves managing compliance in the control room, ensuring adherence to regulations, training junior staff, and contributing to strategic initiatives. Candidates should possess a professional compliance qualification and substantial experience in monitoring and regulatory practices.

Qualifications

• Professional qualification and experience in compliance, specifically control room monitoring.
• Strong knowledge of relevant regulations including Takeover Panel rules.
• Experience with Information Barriers and list management processes.

Responsibilities

• Managing Control Room tasks and supervising deliverables.
• Ensuring regulatory compliance regarding disclosures to relevant regulators.
• Solving complex compliance issues and managing medium-sized projects.

Skills

Compliance principles

Control room activities

Analytical skills

Problem-solving skills

Decision-making skills

Education

Professional qualification in compliance

Job description

Compliance Manager, Control Room, Stevenage

Industry-leading investment banking client is seeking a Compliance Manager for a 6-month contract, inside IR35, specializing in financial services control room operations.

Core responsibilities include:

• Managing Control Room tasks, supervising deliverables, and acting as an escalation point for junior team members.
• Managing and controlling Watch, Grey, and Restricted Lists, including identifying and resolving conflicts of interest.
• Supporting business functions in implementing control room policies and procedures.
• Ensuring regulatory compliance regarding disclosures to the Takeover Panel, FCA, and other regulators.
• Reviewing research reports against lists to identify conflicts of interest.
• Solving complex compliance issues and managing medium-sized projects.
• Training junior staff and contributing to strategic initiatives to improve monitoring processes.
• Representing the UK Compliance function in committees and delivering training sessions.

Required skills and experience:

• Professional qualification and experience in compliance, specifically in control room monitoring.
• 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, prioritize tasks, and meet tight deadlines.