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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 of the role:
* Assist in managing Control Room tasks, supervise deliverables, and serve as an escalation point for junior team members.
* Manage and control the Watch, Grey, and Restricted Lists; identify and resolve potential conflicts of interest.
* Support the implementation of key control policies and procedures related to the control room for the territory.
* Ensure BNPP complies with regulatory requirements concerning disclosures to the Takeover Panel, FCA, and other regulators.
* Review and approve research reports against Grey/Watch and Restricted Lists 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, influencing new policies.
* Lead training sessions for junior staff.
* Recommend improvements to the monitoring plan of the Control Room’s key activities.
* Identify opportunities to enhance the effectiveness of the Control Room.
* Represent the UK Compliance function or CIB Compliance in committees.
* Contribute to compliance and control-related training delivery.
Knowledge, Skills, and Experience:
* Professional qualification and prior experience in a Compliance role within control room monitoring or related activities.
* Excellent understanding of Compliance principles and processes related to Control Room activities.
* Thorough knowledge of Takeover Panel rules, including disclosures under rules 8.1 and 8.5.
* Knowledge of Information Barriers setup and processes.
* Experience with Watch/Grey and Restricted list processes.
* Strong knowledge of Investment Research Clearance.
* Understanding of the UK regulatory framework as it applies to banking.
* Awareness of risk management and fundamental risk concepts.
* Excellent analytical skills with the ability to provide advice and recommendations.
* Proven ability to solve complex problems, make decisions, and manage risks, including critical thinking and handling ambiguity.
* Ability to work independently with high autonomy.
* Organized, with the ability to prioritize tasks and work under pressure within tight deadlines.
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