Compliance Manager, Control Room

JR United Kingdom; Wolverhampton; On-site; GBP 60,000 - 90,000; Full time

Job summary

A leading investment banking client seeks a compliance manager for a 6-month contract to oversee control room activities. The role requires expertise in compliance principles and a solid understanding of UK regulations. The successful candidate will manage compliance issues and lead training initiatives while contributing to strategic projects.

Qualifications

• Prior experience in a Compliance role focused on control room monitoring.
• Excellent knowledge of Completion principles and Takeover Panel rules.
• Ability to manage projects and training initiatives.

Responsibilities

• Assist in the management of Control Room tasks and deliverables.
• Manage potential conflicts of interest through list control.
• Support compliance with regulatory requirements.

Skills

Analytical skills

Critical thinking

Problem-solving

Compliance knowledge

Regulatory awareness

Education

Professional qualification in Compliance

Job description

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Client:

Lorien

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Job Category:

Other

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EU work permit required:

Yes

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Job Views:

3

Posted:

06.06.2025

Expiry Date:

21.07.2025

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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.

· As a subject matter expert, 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 and

· Lead on training of junior staff

· Makes innovative recommendations to drive improvement to 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. This

includes critical thinking and ability to handle ambiguity.

· Ability to work on ones own with a high level of autonomy.

· Thorough and organised with an ability to prioritise and work under time-pressure and to tight deadlines.