Compliance Manager, Control Room

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

Job summary

A leading investment banking client seeks a Compliance Manager for a 6-month contract in Stockport. This role involves managing control room tasks, ensuring compliance with regulatory requirements, and training junior staff. Candidates must possess a strong compliance background in financial services and demonstrate excellent analytical and problem-solving skills.

Qualifications

• Prior experience in a Compliance role specifically in control room monitoring.
• Thorough knowledge of Watch/Grey and Restricted list processes.
• Excellent understanding of UK regulatory framework in investment banking.

Responsibilities

• Manage and control Watch, Grey, and Restricted Lists.
• Support business areas in implementing control room policies.
• Lead training for junior staff and contribute to strategy projects.

Skills

Analytical skills

Problem solving

Compliance knowledge

Risk management

Autonomy

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Stockport

Client: Lorien

Location: Stockport, 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 size projects, and contribute to strategic projects, influencing new initiatives.
• Lead on training of junior staff.
• Make innovative recommendations to improve the monitoring plan of the key activities of the Control Room.
• Identify opportunities to improve 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 in control room monitoring or associated activity.
• 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 and understanding of Watch/Grey and Restricted list processes.
• Strong knowledge and experience of Investment Research Clearance.
• Solid working knowledge of the UK regulatory framework and its application to banking.
• Excellent awareness of risk and fundamental risk concepts.
• Excellent analytical skills and an ability to translate knowledge and experience into advice and recommendations.
• Demonstrated ability to identify and solve complex problems, make sound decisions, and manage risks, including critical thinking and handling ambiguity.
• Ability to work independently with a high level of autonomy.
• Thorough and organized with an ability to prioritize and work under time pressure and tight deadlines.