Senior Compliance Analysts (Control Room)

Willow Resourcing Ltd.
£30k - £55k + bonus + excellent benefits
25 Sep 2017
03 Nov 2017
Contract Type
Full Time
2 Senior Compliance Analysts are required by a global investment bank to join the Control Room and help prevent and detect the misuse of unpublished price sensitive information through the administration and monitoring of the Bank's Information Barrier procedures. You will also be helping detect, escalate and manage potential conflicts of interest between different divisions of the Bank through administration of the intra-divisional conflict clearing process and the clearing of the Bank's research product as well as providing advice to the business, Legal and Compliance on the above issues.These roles are available at both Associate and AVP levels, hence the wide salary band. Key responsibilities of the role include - Assisting the Control Room team in supporting the bank in Europe, the Middle East and Africa (EMEA) and Germany - Being responsible for daily Control Room activities related to research pre-clearance, information barriers and conflict clearing - Giving highly specialised advice and interpretation of legal, regulatory and compliance risk and surveillance requirements as they relate to information barriers, watch lists, restricted lists, wall crossings, conflicts of interest, trading, research clearance and related issues - Maintaining the Watch and Restricted Lists - Assisting with regulatory inquiries and interacting with regulators in relation to investigations related to information barriers/insider trading as well as assisting in the maintenance of internal policies and procedures - Building and maintain relationships with relevant Compliance Advisory, Front Office Business, and other control function staff - Assisting in the timely resolution of exchange, regulatory or internal investigations and enquiries - Reviewing and update relevant policies and procedures - Escalating all material issues to regional/global Compliance Management You will either have a background in banking compliance and possesses a good understanding of the regulatory environment or have a legal / paralegal background and be keen to establish a career in compliance. Qualified Solicitors interested in a compliance career have typically performed well in these roles, for example. Either way, you must have the ability to network and build relationships across a wide range of internal departments and will possess excellent communication skills as well as a good eye for detail.
This job was originally posted as