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Client:
Lorien
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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 seeking a compliance manager for a 6-month contract, with experience working in a control room within financial services.
Core responsibilities:
* Assist in managing Control Room tasks, supervise deliverables, and act as an escalation point for junior team members.
* Manage Watch, Grey, and Restricted Lists; identify and resolve conflicts of interest.
* Support implementation of control room policies and procedures across relevant business areas.
* Ensure compliance with regulatory requirements, including disclosures to the Takeover Panel, FCA, and other regulators.
* Review research reports against control lists to identify potential conflicts of interest.
* Develop solutions for business or compliance issues, including complex problems.
* 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 control room effectiveness.
* Represent UK Compliance or CIB Compliance on committees.
* Contribute to training delivery.
Knowledge, Skills, and Experience:
* Professional qualification and experience in a compliance role related to control room monitoring.
* Strong knowledge of compliance principles, control room activities, and relevant regulations.
* Understanding of Takeover Panel rules and disclosures.
* Knowledge of Information Barriers and list processes.
* Experience with Investment Research Clearance.
* Familiarity with UK regulatory framework in banking.
* Strong analytical, problem-solving, and decision-making skills.
* Ability to work independently with high autonomy.
* Organized, able to prioritize, and work under pressure.
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