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Compliance Manager, Control Room, Maidstone
Client: Lorien
Location: Maidstone, 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 meet its regulatory requirements regarding disclosures to the Takeover Panel, FCA, and other regulators.
* Review and approve research reports versus the Grey/Watch and Restricted Lists to ensure potential conflicts of interest are 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 projects and improvements.
* Lead training of junior staff and contribute to the delivery of compliance training programs.
* Make innovative recommendations to improve 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 at committees.
Knowledge, Skills, and Experience:
* Professional qualification and prior experience in a Compliance role related to control room monitoring or similar activities.
* Excellent knowledge of Compliance principles, processes, and regulations related to Control Room activities.
* Strong understanding of Takeover Panel rules, including disclosures under rules 8.1 and 8.5.
* Knowledge of Information Barriers setup and processes.
* Thorough knowledge of Watch/Grey and Restricted list processes.
* Experience with Investment Research Clearance procedures.
* Solid understanding of the UK regulatory framework as it applies to banking.
* Awareness of risk concepts and ability to analyze and advise on compliance issues.
* Ability to work independently with high autonomy, prioritize tasks, and meet tight deadlines.
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