Description
JOB TITLE: Assistant Manager, Control Room – Conduct & Compliance
SALARY: £43,803 - £48,670
LOCATION(S): Edinburgh, Birmingham
HOURS: Full-time
WORKING PATTERN: Our work style is hybrid, which involves spending at least
two days per week, or 40% of our time, at one of our office sites
About this opportunity
We’re looking for a Control Room Assistant Manager to join us. You'll support the Control Room Management in developing a Conduct & Compliance centre of excellence, to assist robust risk management in alignment with the Group’s Enterprise Risk Management Framework (ERMF).
You will support the in the creation of a Group Control Room and in doing so ensure LBG has controls to manage flows of confidential and inside information providing guidance to the Business on the identification, management, and escalation of conflicts of interest to protect and enhance the reputation of LBG with clients and regulators.
Further, you will be involved in supporting the delivery of tailored training to business areas, support on project work (as directed) and contribute to the development of Control Room capabilities.
Day to day, you will:
1. Act as one of the Group’s Conduct & Compliance Risk specialists focusing on conflicts management.
2. Supports completion of all core Control Room work, ensuring that key activities such as conflicts checks, insider lists, barrier crossings, personal account dealing requests, training and reporting are completed efficiently and in accordance with the required standards.
3. Delivers prescribed outcomes to support the management of effective, ongoing data-led Risk control objectives to meet the needs of risk and control owners, control specialist teams, Audit and external regulators.
4. Be bold and proactive in escalating complex queries from stakeholders to senior colleagues within Control Room.
5. Support in the management and control of the Watch, In the Know, “ITK” and Restricted Lists.
6. Assist in ensuring LBG meets its regulatory obligations in relation to disclosures e.g. FCA and other regulatory requests.
Why Lloyds Banking Group
We’re on an exciting journey and there couldn’t be a better time to join us. The investments we’re making in our people, data, and technology are leading to innovative projects, fresh possibilities, and countless new ways for our people to work, learn, and thrive.
What you’ll need:
7. A minimum of 2 years’ experience of Control Room activity at peer firms.
8. Awareness of applicable regulations including Market Abuse Regulation, Personal Account Dealing, Market Manipulation, FCA Principles, SYSC 10A, and MiFID.
9. Good compliance knowledge of the Market Abuse regime and the importance of maintaining information barriers and control over material non-public information.
10. Demonstrates ability to build strong partnerships with colleagues in the business, Conduct & Compliance, and wider Risk teams.
11. Works with guidance and may work independently to analyse data from multiple sources. Able to draw appropriate conclusions and make suitable recommendations, which are communicated clearly and concisely.
12. You’ll drive your own personal growth, supported by your Line Manager, by building your skills for the future, and contributing to a strong team.
13. Strong personal focus on accuracy and attention to detail with good written and oral English skills to articulate technical issues to the business and management.
And any experience of these would be really useful:
14. Experience of working on bond issuances, financings, debt advisory and acquisitions – understanding how conflicts arise and are mitigated.
15. Good communication skills and the ability to influence at senior levels.
16. Inclusive working style that ensures everyone can be themselves in a safe environment.
17. Actively exhibits and promotes the LBG Values and brings them into all work. Also participates in the wider enrichment of CCOR, and the wider Group, to be a great place to work.
18. An understanding of data analytics techniques using Power BI or Power Automate.
About working for us
Our focus is to ensure we're inclusive every day, building an organisation that reflects modern society and celebrates diversity in all its forms. We want our people to feel that they belong and can be their best, regardless of background, identity or culture. We were one of the first major organisations to set goals on diversity in senior roles, create a menopause health package, and a dedicated Working with Cancer initiative. And it’s why we especially welcome applications from under-represented groups. We’re disability confident. So if you’d like reasonable adjustments to be made to our recruitment processes, just let us know
We also offer a wide-ranging benefits package, which includes:
• A generous pension contribution of up to 15%
• An annual performance-related bonus
• Share schemes including free shares
• Benefits you can adapt to your lifestyle, such as discounted shopping
• 28 days’ holiday, with bank holidays on top
• A range of wellbeing initiatives and generous parental leave policies
This is a once in a career opportunity to help shape your future as well as ours. Join us and grow with purpose.
At Lloyds Banking Group, we're driven by a clear purpose; to help Britain prosper. Across the Group, our colleagues are focused on making a difference to customers, businesses and communities. With us you'll have a key role to play in shaping the financial services of the future, whilst the scale and reach of our Group means you'll have many opportunities to learn, grow and develop.
We keep your data safe. So, we'll only ever ask you to provide confidential or sensitive information once you have formally been invited along to an interview or accepted a verbal offer to join us which is when we run our background checks. We'll always explain what we need and why, with any request coming from a trusted Lloyds Banking Group person.
We're focused on creating a values-led culture and are committed to building a workforce which reflects the diversity of the customers and communities we serve. Together we’re building a truly inclusive workplace where all of our colleagues have the opportunity to make a real difference.