Compliance Manager, Control Room

JR United Kingdom; Watford; On-site; GBP 65,000 - 85,000; Full time

Job summary

An industry-leading investment banking client seeks a Compliance Manager in Watford for a 6-month contract. Responsibilities include managing Control Room operations, ensuring regulatory compliance, and training junior staff. Ideal candidates will have relevant compliance experience and strong analytical skills.

Qualifications

• Experience in a Compliance role related to control room monitoring.
• Strong knowledge of Compliance principles and regulatory frameworks.
• Ability to work independently and manage multiple tasks.

Responsibilities

• Assist in managing Control Room tasks and escalations.
• Control Watch, Grey, and Restricted Lists and resolve conflicts.
• Ensure compliance with regulatory disclosures to relevant authorities.

Skills

Analytical

Decision-making

Problem-solving

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Watford, Hertfordshire

Client: Lorien

Location: Watford, Hertfordshire, 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 team members.
• Manage and control the Watch, Grey, and Restricted Lists and resolve potential conflicts of interest.
• Support the implementation of key control policies and procedures for the relevant business and functions.
• Assist in ensuring regulatory compliance related to disclosures to the Takeover Panel, FCA, and other regulators.
• Review and approve research reports versus the Grey/Watch and Restricted Lists to ensure conflicts of interest are cleared.
• Identify solutions for business or compliance issues, including complex problem solving.
• Manage medium-sized projects and contribute to strategic initiatives.
• Lead training of junior staff and contribute to committee representations.
• Recommend improvements to the monitoring plan of the Control Room activities.
• Identify opportunities to enhance the effectiveness of the Control Room.
• Contribute to training delivery and represent the UK Compliance function in committees.

Knowledge, Skills, and Experience:

• Professional qualification and experience in a Compliance role related to control room monitoring.
• Strong knowledge of Compliance principles, Takeover Panel rules, and Information Barriers processes.
• Experience with Watch/Grey and Restricted list processes and Investment Research Clearance.
• Understanding of UK regulatory framework and risk management concepts.
• Excellent analytical, decision-making, and problem-solving skills.
• Ability to work independently with high autonomy, prioritize tasks, and meet deadlines.