Compliance Manager, Control Room

JR United Kingdom; Woking; On-site; GBP 60,000 - 100,000; Full time

Job summary

A leading investment banking client is seeking a Compliance Manager for a 6-month contract in Woking. The successful candidate will manage Control Room tasks, ensure compliance with regulations, and lead training for junior staff. This role offers the opportunity to work independently with high autonomy and influence strategic initiatives in compliance.

Qualifications

• Professional experience in a Compliance role related to control room monitoring.
• Strong knowledge of relevant regulations and compliance principles.
• Experience with Investment Research Clearance.

Responsibilities

• Assist in managing Control Room tasks and supervise deliverables.
• Ensure regulatory compliance related to disclosures to various regulators.
• Lead training for junior staff.

Skills

Analytical skills

Decision-making skills

Organizational skills

Knowledge of Compliance principles

Education

Professional qualification in Compliance

Job description

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Compliance Manager, Control Room, Woking

Client: Lorien

Location: Woking, 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 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 as a subject matter expert.
• Ensure 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 for 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 in committees.
• Contribute to compliance training delivery.

Knowledge, Skills, and Experience:

• Professional qualification and experience in a Compliance role related to control room monitoring.
• Strong knowledge of Compliance principles, Control Room activities, and relevant regulations.
• Knowledge of Takeover Panel rules, Information Barriers, and list processes.
• Experience with Investment Research Clearance.
• Understanding of the UK regulatory framework for banking.
• Excellent analytical and decision-making skills.
• Ability to work independently with high autonomy.
• Organized, with the ability to prioritize and meet tight deadlines.