Compliance Control Room Officer - Hays - Recruiting Experts Worldwide

Compliance Control Room Officer

Compliance Control Room

Your new company
An exciting opportunity has come available for a Control Room compliance professional to join a growing European Investment bank. 

Your new role

  • Managing and implementing the required controls that are the responsibility of the Control Room within the Wholesale & Corporate Compliance Team including
    • Deal Conflict Clearance & Conflict Management
    • Management Reporting
    • Wall crossings
    • PA Dealing & Outside Business management
    • Conflicts Register Management
    • Management of Information Barriers
    • Insider List/ Deal Team list management
    • Pre-deal Research review
    • Research Clearance
    • Restricted List management
    • Watch List Trade Surveillance
    • Regulatory Information Requests
    • Equity Aggregation
    • Shareholding disclosures
    • Short Sale Reporting
    • Takeover Panel Reporting
    • Incident Management
    • Policy updates
    • Audit requests for information
    • Compliance training
  • Act as a point of contact for policy interpretation
  • Co-ordinator for implementation of global deal management system
  • Provide Compliance support and guidance to the UK businesses in respect to Control Room requirements.
  • Consistently review existing controls and recommend improvements to senior management.
  • Provide support to the Head of Private Side Compliance.
  • Keep abreast of changes in Regulations and how they might impact current Control Room practices.
  • Insure collaboration with other peers through attendance at industry round tables and seminars.

What you'll need to succeed
  • You must have a minimum 2 years Control Room experience
  • You must have UK banking experience. 
  • Knowledge of the FCA rules and Compliance requirements
  • Technical knowledge of Wholesale / Investment Banking

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.


Job type:
Banking & Financial Services
Banking and Capital Markets
£45,000 - £65,000
Apply Now

Talk to a consultant

Talk to Joshua Simpson, the specialist consultant managing this position, located in London City

107 Cheapside, London, EC2V 6DN

Telephone: 020 3465 0110
For 50 years we've used our expertise to help people transform their careers.

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