Compliance Manager, Control Room

JR United Kingdom; West Midlands Combined Authority; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract in the West Midlands. The role involves managing Control Room tasks, ensuring compliance with regulations, and training junior staff. Ideal candidates possess strong knowledge of compliance principles and experience with control room activities.

Qualifications

• Experience in a Compliance role related to control room monitoring.
• Understanding of UK regulatory framework in banking.
• Knowledge of Investment Research Clearance.

Responsibilities

• Assist in the management of Control Room tasks and supervise deliverables.
• Manage Watch, Grey, and Restricted Lists while resolving conflicts of interest.
• Ensure compliance with regulatory requirements related to disclosures.

Skills

Compliance principles

Analytical skills

Problem-solving

Project management

Organizational skills

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, West Midlands

Client: Lorien

Location: West Midlands

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 deliverables and acting as an escalation point for 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 areas.
• Ensure compliance with regulatory requirements related to disclosures to the Takeover Panel, FCA, and other regulators.
• Review and approve research reports against the Grey/Watch and Restricted Lists to clear potential conflicts of interest.
• Identify solutions for business or compliance issues, including complex problem-solving.
• Manage medium-sized projects and contribute to strategic initiatives.
• Lead training for junior staff.
• Recommend improvements to the monitoring plan of the Control Room activities.
• Identify opportunities to enhance the effectiveness of the Control Room.
• Represent the UK Compliance function or CIB Compliance in committees.
• Contribute to training delivery.

Knowledge, Skills, and Experience:

• Professional qualification and experience in a Compliance role related to control room monitoring.
• Strong knowledge of Compliance principles and processes in control room activities.
• Good understanding of Takeover Panel rules, including disclosures under rules 8.1 and 8.5.
• Knowledge of Information Barriers setup and processes.
• Experience with Watch/Grey and Restricted list processes.
• Knowledge of Investment Research Clearance.
• Understanding of UK regulatory framework in banking.
• Aware of risk concepts and their application.
• Excellent analytical and advisory skills.
• Ability to solve complex problems and handle ambiguity.
• Ability to work independently with high autonomy.
• Organized, with the ability to prioritize and meet deadlines.