Job Description
Gresham Hunt have partnered with a leading international financial institution who are seeking an experienced compliance professional to lead and enhance its EMEA Control Room and Conflicts Management framework.
This is a highly visible position with broad exposure across investment banking, markets, legal, compliance and senior management functions. The successful candidate will act as a key point of contact for conflicts management, information barrier governance and market conduct advisory matters across the region.
The role will focus on overseeing and developing frameworks relating to conflicts of interest, insider and watch list management, material non-public information (MNPI), wall crossings, restricted lists and related control room activities across multiple business lines.
The successful candidate will also contribute to broader global control room initiatives and help drive consistent governance standards across international operations.
Key Responsibilities:
* Lead the ongoing enhancement and oversight of the regional Control Room and conflicts management framework across EMEA.
* Oversee governance processes relating to insider lists, watch lists, restricted lists, wall crossings and information barrier controls.
* Ensure effective day-to-day management of control room activities and associated compliance processes.
* Support the development of scalable and consistent governance frameworks across banking and securities activities.
* Provide proactive advice and guidance to front office and support functions on conflicts management, market conduct and information barrier matters.
* Identify, assess and escalate regulatory or reputational risks where appropriate.
* Partner with Legal, Compliance and business stakeholders on sensitive transactions and conflict-related issues.
* Act as a trusted advisor to senior stakeholders across investment banking and markets businesses.
* Draft, review and maintain policies, procedures and governance documentation relating to control room activities and conflicts management.
* Support development of global standards and best practices relating to information barrier governance and market conduct controls.
* Assist with regulatory reviews, internal audits and thematic assessments where required.
* Manage and mentor members of the Control Room / Compliance team.
* Deliver training to front office and support teams on conduct risk, market abuse regulation and conflicts management obligations.
* Build strong working relationships across EMEA and international teams to ensure consistent application of regulatory standards.
Experience Required:
* Minimum 5 years’ experience within a Control Room, Conflicts Office, Markets Compliance or Private Side Advisory function within investment banking.
* Strong experience advising on conflicts management and information barrier controls.
* Experience supporting investment banking and markets businesses within a global financial institution.
* Prior management or supervisory experience would be advantageous.
* Strong understanding of capital markets, investment banking and trading activities.
* Good knowledge of market conduct and market abuse regulations impacting global banking businesses.
* Experience managing insider lists, watch lists, restricted lists and wall crossing processes.
* Strong understanding of governance, compliance risk and control frameworks.
* Excellent stakeholder management and communication skills.
* Ability to operate independently and exercise sound judgement in complex situations.
* Strong analytical, organisational and problem-solving capabilities.