Compliance Manager, Control Room

JR United Kingdom; Stoke-on-Trent; On-site; GBP 50,000 - 75,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract in Stoke-on-Trent. The role involves overseeing Control Room activities, managing conflicts of interest, and ensuring compliance with regulatory requirements. Candidates should have a professional compliance qualification and extensive experience in control room monitoring, with strong analytical and decision-making skills.

Qualifications

• Experience in control room monitoring or related compliance roles.
• Strong knowledge of Takeover Panel rules and UK banking regulations.
• Ability to work independently with strong analytical problem-solving skills.

Responsibilities

• Assist in managing Control Room tasks and supervise deliverables.
• Review research reports for potential conflicts of interest.
• Lead training sessions for junior staff and identify solutions for compliance issues.

Skills

Compliance principles

Analytical skills

Problem-solving

Risk awareness

Project management

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Stoke-on-Trent

Client: Lorien

Location: Stoke-on-Trent, 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 as a subject matter expert.
• Assist in ensuring BNPP meet its regulatory requirements regarding disclosures to the Takeover Panel, FCA, and other regulators.
• Review and approve research reports versus the Grey/Watch and Restricted Lists to ensure potential conflicts of interest are cleared.
• Identify solutions for business or compliance issues, including complex and atypical problem solving.
• Manage medium-sized projects and contribute to strategic initiatives, influencing new projects and improvements.
• Lead training sessions for junior staff.
• Make innovative recommendations to improve the monitoring plan of the key activities of the Control Room.
• Identify opportunities to enhance the effectiveness of the Control Room.
• Represent the UK Compliance function or CIB Compliance in committees.
• Contribute to compliance training delivery.

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 knowledge of Takeover Panel rules, including disclosures under rules 8.1 and 8.5.
• Detailed knowledge of Information Barriers setup and processes.
• Thorough understanding of Watch/Grey and Restricted list processes.
• Experience with Investment Research Clearance.
• Solid understanding of the UK regulatory framework in banking.
• Excellent risk awareness and understanding of fundamental risk concepts.
• Strong analytical skills with the ability to translate knowledge into advice and recommendations.
• Proven ability to solve complex problems, make decisions, and manage risks, including critical thinking and handling ambiguity.
• Ability to work independently with a high level of autonomy.
• Organized, with the ability to prioritize and work under pressure and tight deadlines.