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Compliance Manager, Control Room, Newcastle-upon-Tyne, Tyne and Wear
Client: Lorien
Location: Newcastle-upon-Tyne, Tyne and Wear, 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 seeking a Compliance Manager for a 6-month contract, with experience working in a control room within financial services.
Core responsibilities include:
* Assist in managing Control Room tasks, supervising deliverables, and acting as an escalation point for junior team members.
* Manage and control the Watch, Grey, and Restricted Lists, including resolving potential conflicts of interest.
* Support the implementation of control room policies and procedures across relevant business areas.
* Ensure compliance with regulatory requirements related to disclosures to the Takeover Panel, FCA, and other regulators.
* Review and approve research reports to ensure conflicts of interest are addressed.
* Identify solutions for business or compliance issues, including complex problem-solving.
* Manage medium-sized projects and contribute to strategic initiatives.
* Lead training for junior staff and contribute to committee representations.
* Recommend improvements to monitoring plans and control room effectiveness.
* Deliver training and contribute to compliance knowledge sharing.
Knowledge, Skills, and Experience:
* Professional qualification and prior experience in a compliance role within control room monitoring.
* Strong knowledge of compliance principles, control room activities, and relevant regulations including Takeover Panel rules.
* Experience with Information Barriers and list management processes.
* Knowledge of Investment Research Clearance and UK regulatory framework.
* Excellent analytical, decision-making, and risk management skills.
* Ability to work independently with high autonomy and manage time effectively under pressure.
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