Head of Control Room | London, UK

Trevose Partners Limited; London; On-site; GBP 100,000 - 150,000; Full time

Job summary

A global recruitment firm for financial institutions seeks a Head of Control Room to manage and mitigate conflicts of interest. This role requires over 10 years of experience in conflicts management within a financial institution. Responsibilities include providing strategic leadership, designing conflict management frameworks, and overseeing compliance. Candidates should have strong analytical skills and experience in regulatory environments.

Qualifications

• Minimum 10 years of experience in conflicts management within a global financial institution.
• Deep understanding of investment banking products, including FINRA, SEC, MiFID II regulations.
• Proven experience leading large-scale change projects in a global environment.

Responsibilities

• Provide strategic leadership in resolving conflicts of interest.
• Design and implement conflict management frameworks and policies.
• Oversee employee personal trading reviews.

Skills

Conflict management expertise

Knowledge of regulatory frameworks

Analytical skills

Project management

Excellent communication

Job description

This role is responsible for managing and mitigating conflicts of interest across the Corporate and Investment Bank.

Head of Control Room

This role is responsible for managing and mitigating conflicts of interest across the Corporate and Investment Bank, ensuring regulatory compliance and operational excellence.

Key Responsibilities

• Provide strategic leadership in identifying, evaluating, and resolving conflicts of interest across investment banking, capital markets, commercial banking, and M&A activities.
• Utilize in-depth knowledge of U.S. and Canadian equity research to ensure compliance with relevant regulatory standards and safe harbor provisions.
• Design, implement, and continuously refine conflict management frameworks, policies, and procedures to support business integrity and regulatory compliance.
• Manage conflict clearance processes across the Corporate and Investment Bank, ensuring alignment with internal protocols and external regulations.
• Oversee employee personal trading reviews to proactively detect and address potential conflicts of interest.
• Lead complex, cross-functional initiatives including global policy implementations, technology migrations, and operational enhancements.
• Act as a senior compliance advisor, providing guidance on nuanced conflict scenarios to business and regulatory stakeholders.
• Stay abreast of evolving regulatory landscapes and industry best practices to maintain a forward-looking, best-in-class conflict management program.
• Support team development by mentoring junior staff and promoting a culture of accountability, collaboration, and continuous improvement.

Qualifications

• Minimum 10 years of experience in conflicts management within a global financial institution, preferably in a control room or compliance function.
• Deep understanding of investment banking products, services, and regulatory frameworks (e.g., FINRA, SEC, MiFID II), including reviewing and approving U.S. and Canadian equity research.
• Demonstrated success in building and implementing conflict management systems and tools.
• Proven experience leading large-scale change projects in a matrixed, global environment.
• Strong analytical, problem-solving, and project management skills.
• Excellent communication and stakeholder management abilities.

Trevose Partners was established in 2011 with the specific aim of becoming the global recruiter of choice to financial institutions from all over the ...

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