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Client: Lorien

Location: Telford, United Kingdom

Job Category: Other

EU work permit required: Yes

3

06.06.2025

21.07.2025

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 within financial services.

Core responsibilities:

• Assist in managing Control Room tasks, supervising deliverables, and acting as an escalation point for junior team members.
• Manage and control Watch, Grey, and Restricted Lists, and resolve potential conflicts of interest.
• Support implementation of control room policies and procedures.
• Ensure regulatory compliance related to disclosures to entities like the Takeover Panel and FCA.
• Review research reports against lists to identify conflicts of interest.
• Identify solutions for compliance issues and complex problems.
• Manage projects and contribute to strategic initiatives.
• Lead training efforts for junior staff.
• Recommend improvements to monitoring plans and control room effectiveness.
• Represent the UK Compliance function in committees.
• Deliver training programs.

Knowledge, Skills, and Experience:

• Professional qualification and experience in a Compliance role related to control room monitoring.
• Deep understanding of Compliance principles, especially in control room activities.
• Knowledge of Takeover Panel rules, including disclosures.
• Experience with Information Barriers and list processes.
• Proficiency in Investment Research Clearance.
• Understanding of UK regulatory framework in banking.
• Risk awareness and analytical skills.
• Ability to solve complex problems and make sound decisions.
• Autonomous work capability.
• Organizational skills and ability to meet deadlines.