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Compliance Manager, Control Room, Cardiff
Client: Lorien
Location: Cardiff, United Kingdom
Job Category: Other
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EU work permit required: Yes
Job Views:
3
Posted:
06.06.2025
Expiry Date:
21.07.2025
Job Description:
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 in financial services.
Core accountabilities of role:
* 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.
* 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-sized projects and contribute to strategic initiatives.
* Lead training of junior staff.
* Make innovative recommendations to improve the monitoring plan of the Control Room's key activities.
* Identify opportunities to enhance the effectiveness of the Control Room.
* Represent the UK Compliance function or CIB Compliance in committees.
* Contribute to the delivery of training programs.
Knowledge, Skills and Experience:
* Professional qualification and prior experience in a Compliance role related to control room monitoring or similar activities.
* Excellent knowledge of Compliance principles and processes related to Control Room activities.
* Strong understanding of Takeover Panel rules, including disclosures under rules 8.1 and 8.5.
* Knowledge of Information Barriers setup and processes.
* Experience with Watch/Grey and Restricted list processes.
* Experience with Investment Research Clearance.
* Understanding of the UK regulatory framework as it applies to banking.
* Awareness of risk and fundamental risk concepts.
* Strong analytical skills and ability to provide advice and recommendations.
* Ability to solve complex problems, make sound decisions, and manage risks.
* Ability to work independently with high autonomy.
* Organized, able to prioritize, and work under pressure within tight deadlines.
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