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Compliance Manager, Control Room, southampton
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Client:
Lorien
Location:
southampton, United Kingdom
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 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.
· As a subject matter expert, 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 size projects, and contribute to strategic projects, influencing new initiatives and
· Lead on training of junior staff
· Makes innovative recommendations to drive improvement to the monitoring plan of the key activities of the
Control Room.
· Identify opportunities to improve the effectiveness of the Control Room.
· Contribute to committees by representing the UK Compliance function, or CIB Compliance.
· Contribute to the delivery of training.
Knowledge, Skills and Experience:
· Professional qualification and prior experience in a Compliance role in control room monitoring or
associated activity.
· Excellent knowledge of Compliance principles and processes related to Control Room activities.
· Excellent knowledge of Takeover Panel rules including relevant disclosures under rules 8.1 and 8.5.
· Detailed knowledge of Information Barriers setup and processes.
· Thorough knowledge and understanding of Watch/Grey and Restricted list processes.
· Strong knowledge and experience of Investment Research Clearance.
· Solid working knowledge of the UK regulatory framework and its application to banking.
· Excellent awareness of risk and fundamental risk concepts.
· Excellent analytical skills and an ability to translate knowledge and experience into advice and
recommendations.
· Demonstrated ability to identify and solve complex problems, make sound decisions, and manage risks. This
includes critical thinking and ability to handle ambiguity.
· Ability to work on ones own with a high level of autonomy.
· Thorough and organised with an ability to prioritise and work under time-pressure and to tight deadlines.
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