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Compliance Manager, Control Room, Guildford
Client: Lorien
Location: Guildford, 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 accountabilities of role:
* Assist in the general management of Control Room tasks, including supervising the deliverables and acting as an escalation point for more junior members of the team.
* Manage and control the Watch, Grey, and Restricted Lists and the identification and resolution of potential conflicts of interest.
* Support the relevant business and functions areas in implementing key control room related policies and procedures for the territory as a subject matter expert.
* Assist in ensuring BNPP meets its regulatory requirements related 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-sized projects and contribute to strategic initiatives, influencing new initiatives.
* Lead on training of junior staff.
* Make innovative recommendations to improve the monitoring plan of key activities in the Control Room.
* Identify opportunities to enhance the effectiveness of the Control Room.
* Contribute to committees by representing the UK Compliance function or CIB Compliance.
* Contribute to the delivery of training.
Knowledge, Skills, and Experience:
* Professional qualification and prior experience in a Compliance role in control room monitoring or related activity.
* Excellent knowledge of Compliance principles and processes related to Control Room activities.
* Excellent knowledge of Takeover Panel rules, including relevant disclosures under rules 8.1 and 8.5.
* Detailed knowledge of Information Barriers setup and processes.
* Thorough knowledge of Watch/Grey and Restricted list processes.
* Strong experience with Investment Research Clearance.
* Solid understanding of the UK regulatory framework and its application in banking.
* Excellent awareness of risk concepts and management.
* Strong analytical skills with the ability to translate knowledge into advice and recommendations.
* Proven ability to identify and solve complex problems, make sound decisions, and manage risks, including critical thinking and handling ambiguity.
* Ability to work independently with high autonomy.
* Organized and able to prioritize tasks under pressure and tight deadlines.
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