Compliance Manager, Control Room, Stevenage
Industry-leading investment banking client is seeking a Compliance Manager for a 6-month contract, inside IR35, specializing in financial services control room operations.
Core responsibilities include:
* Managing Control Room tasks, supervising deliverables, and acting as an escalation point for junior team members.
* Managing and controlling Watch, Grey, and Restricted Lists, including identifying and resolving conflicts of interest.
* Supporting business functions in implementing control room policies and procedures.
* Ensuring regulatory compliance regarding disclosures to the Takeover Panel, FCA, and other regulators.
* Reviewing research reports against lists to identify conflicts of interest.
* Solving complex compliance issues and managing medium-sized projects.
* Training junior staff and contributing to strategic initiatives to improve monitoring processes.
* Representing the UK Compliance function in committees and delivering training sessions.
Required skills and experience:
* Professional qualification and experience in compliance, specifically in 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, problem-solving, and decision-making skills.
* Ability to work independently, prioritize tasks, and meet tight deadlines.
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