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Compliance Manager, Control Room, Crawley, West Sussex
Client: Lorien
Location: Crawley, West Sussex, 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 looking for a compliance manager on a 6-month contract, with experience working in a control room in financial services.
Core responsibilities:
* 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, and resolve potential conflicts of interest.
* Support business areas in implementing control room policies and procedures.
* Ensure compliance with regulatory requirements related to disclosures to regulators like the FCA and Takeover Panel.
* Review research reports against the Grey/Watch and Restricted Lists for conflicts of interest.
* Identify solutions for compliance issues and complex problems.
* Manage medium-sized projects and contribute to strategic initiatives.
* Lead training for junior staff.
* Recommend improvements to the monitoring plan of control room activities.
* Identify opportunities to enhance control room effectiveness.
* Represent UK Compliance or CIB Compliance in committees.
* Contribute to compliance training delivery.
Knowledge, Skills, and Experience:
* Professional qualification and experience in a compliance role within control room monitoring.
* Strong knowledge of compliance principles related to control room activities.
* Understanding of Takeover Panel rules and disclosures.
* Knowledge of Information Barriers setup and processes.
* Experience with Watch/Grey and Restricted list processes.
* Experience with Investment Research Clearance.
* Understanding of UK regulatory framework for banking.
* Awareness of risk management concepts.
* Analytical skills with the ability to provide advice and recommendations.
* Problem-solving skills, decision-making, and risk management abilities.
* Ability to work independently with high autonomy.
* Organized, with the ability to prioritize and work under pressure and tight deadlines.
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