Control Room - Compliance Manager

Lorien; England; Hybrid; GBP 80,000 - 120,000; Full time

Job summary

A leading investment banking firm is seeking a Compliance Manager (VP level) to oversee compliance management and support strategic initiatives within their UK Control Room team. This hybrid role requires proven experience in compliance along with strong knowledge of UK regulations. The ideal candidate will demonstrate excellent analytical and communication skills, managing key compliance processes effectively and providing expert advice.

Qualifications

• Proven experience in a control room compliance role.
• Strong knowledge of UK regulatory frameworks, Takeover Panel rules, and investment research clearance.
• Excellent analytical, communication, and stakeholder management skills.

Responsibilities

• Manage Watch, Grey, and Restricted Lists.
• Oversee research clearance and regulatory disclosures.
• Lead training and support junior staff.
• Drive improvements in control room procedures and monitoring.
• Provide expert compliance advice and contribute to strategic projects.

Skills

Strong knowledge of UK regulatory frameworks

Excellent analytical skills

Strong communication skills

Stakeholder management skills

Job description

Compliance Manager (VP level)

Location: London (Hybrid – 2-3 days/week in office)

Our client, a leading player in the investment banking sector, is seeking a Compliance Manager (VP level) to join their UK Control Room team. This role supports the management of material non-public information and conflict of interest controls across private side activities including Global Banking, Capital Markets, and FIC.

Responsibilities

• Manage Watch, Grey, and Restricted Lists
• Oversee research clearance and regulatory disclosures
• Lead training and support junior staff
• Drive improvements in control room procedures and monitoring
• Provide expert compliance advice and contribute to strategic projects

Requirements

• Proven experience in a control room compliance role
• Strong knowledge of UK regulatory frameworks, Takeover Panel rules, and investment research clearance
• Excellent analytical, communication, and stakeholder management skills

This is a non-management role with high autonomy and strategic impact.