Compliance Manager - EMEA Control Room

Lorien; London; On-site; GBP 50,000 - 70,000; Full time

Job summary

A leading consultancy in compliance is seeking a Compliance Officer for a 6-month rolling contract in Investment Banking. The role involves managing Control Room tasks, ensuring regulatory compliance, and mentoring junior staff. Candidates should have a professional qualification in compliance and strong knowledge of UK regulations. Excellent analytical and communication skills are essential. This position is based in London and offers a unique opportunity for growth in a dynamic regulatory environment.

Qualifications

• Prior experience in a Compliance role in control room monitoring.
• Knowledge of compliance processes related to Control Room activities.
• Strong understanding of the UK regulatory framework.

Responsibilities

• Manage Control Room tasks and act as escalation point.
• Support implementation of control room policies.
• Review research reports to ensure compliance.

Skills

Compliance principles

Investment Research Clearance

Analytical skills

Problem-solving

Communication skills

Education

Professional qualification in Compliance

Tools

Microsoft Office

Job description

Overview

6 month rolling contract - Inside IR35 - Investment Banking

Responsibilities

• 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 one's own with a high level of autonomy.
• Thorough and organised with an ability to prioritise and work under time-pressure and to tight deadlines.
• Excellent written and oral English skills in order to articulate technical issues and effectively communicate with individuals across the business.
• Proven ability to deal with senior, experienced business stakeholders.
• Computer literacy and a good knowledge of common software e.g. Microsoft Office. Experience of relevant specialist Compliance software.