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Compliance Manager, Control Room, Kingston upon Hull, East Yorkshire
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Client:
Lorien
Location:
Kingston upon Hull, East Yorkshire, United Kingdom
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 for a 6-month contract, with experience working in a control room within financial services.
Core accountabilities of the role:
* Assist in managing Control Room tasks, supervise deliverables, and act as an escalation point for junior team members.
* Manage and control Watch, Grey, and Restricted Lists; identify and resolve potential conflicts of interest.
* Support the implementation of control room policies and procedures across relevant business areas.
* Ensure compliance with regulatory requirements related to disclosures to the Takeover Panel, FCA, and other regulators.
* Review and approve research reports against Grey/Watch and Restricted Lists to ensure conflicts are managed.
* Identify solutions for business or compliance issues, including complex problem-solving.
* Manage medium-sized projects and contribute to strategic initiatives.
* Lead training for junior staff.
* Recommend improvements to monitoring plans and control room activities.
* Identify opportunities to enhance the effectiveness of the Control Room.
* Represent the UK Compliance function in committees.
* Contribute to compliance training delivery.
Knowledge, Skills, and Experience:
* Professional qualification and experience in a Compliance role within control room monitoring or related activities.
* Strong knowledge of Compliance principles and processes related to Control Room activities.
* Knowledge of Takeover Panel rules, including disclosures under rules 8.1 and 8.5.
* Understanding of Information Barriers setup and processes.
* Experience with Watch/Grey and Restricted List processes.
* Knowledge of Investment Research Clearance.
* Familiarity with the UK regulatory framework for banking.
* Awareness of risk concepts and ability to manage risks effectively.
* Excellent analytical, decision-making, and problem-solving skills.
* Ability to work autonomously and manage time effectively under pressure.
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