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Compliance Manager, Control Room, Watford, Hertfordshire
Client: Lorien
Location: Watford, Hertfordshire, United Kingdom
Job Category: Other
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 team members.
* Manage and control the Watch, Grey, and Restricted Lists and resolve potential conflicts of interest.
* Support the implementation of key control policies and procedures for the relevant business and functions.
* Assist in ensuring regulatory compliance related to disclosures to the Takeover Panel, FCA, and other regulators.
* Review and approve research reports versus the Grey/Watch and Restricted Lists to ensure conflicts of interest are cleared.
* Identify solutions for business or compliance issues, including complex problem solving.
* Manage medium-sized projects and contribute to strategic initiatives.
* Lead training of junior staff and contribute to committee representations.
* Recommend improvements to the monitoring plan of the Control Room activities.
* Identify opportunities to enhance the effectiveness of the Control Room.
* Contribute to training delivery and represent the UK Compliance function in committees.
Knowledge, Skills, and Experience:
* Professional qualification and experience in a Compliance role related to control room monitoring.
* Strong knowledge of Compliance principles, Takeover Panel rules, and Information Barriers processes.
* Experience with Watch/Grey and Restricted list processes and Investment Research Clearance.
* Understanding of UK regulatory framework and risk management concepts.
* Excellent analytical, decision-making, and problem-solving skills.
* Ability to work independently with high autonomy, prioritize tasks, and meet deadlines.
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