Job purpose
To proactively support the management of deliverables of the Control Room. This ensures that the UK business has controls to manage the flow of Material Non-Public Information and its various product lines and businesses. The goal is to identify, manage, and escalate conflicts of interest to protect and enhance the reputation of the bank with its clients and regulators.
Key responsibilities
* Assist in the general management of Control Room tasks. This includes supervising deliverables and acting as an escalation point for less experienced team members.
* 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 the firm 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 proactively delivering procedure improvements.
* 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 Compliance.
* Contribute to the delivery of training.