Compliance Officer - Control room

Altus Search
London, UK
20 Jul 2019
27 Jul 2019
Contract Type
Full Time
Ref: 949ASI

Title: Compliance Officer - Control Room (Fixed Term Contract)

Location: London

Salary: Attractive

Date: 19th July 2019

Our client, a Global Financial Institution is looking for a Control Room Officer to join their department. The individual would provide guidance and support to the compliance control room duties and cover the Investment Banking business globally.

Duties Include:
  • Assist in the development of the Control Room, making proposals for structured improvements in processes and management information.
  • Delivering reports daily, constantly monitoring equity positions, seeking to identify any breaches.
  • Acting for the EMEA Control Room across banking arm and securities business under a dual-hat arrangement.
  • Implement necessary trading and research restrictions in conjunction with the firm's policies.
  • Managing the newcomer process for all employees, arranging training as needed for permanent insiders and responsibility of period review of status.
  • Managing International Regulatory programmes and reporting.
  • Helping to detect, escalate and manage potential conflicts of interest between different divisions of the bank.
  • Provide research and conflict clearance in a timely and effective manner.
  • Review and maintain the bank's employee trading policy and securities monitoring.

The preferred candidate will ideally have an Investment Banking background and demonstrate strong knowledge of research clearance and conflict management issues. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.

If you are interested in this opportunity, please email your C.V. to or call on 020 7430 1831 for a confidential discussion.

Altus Search Ltd is acting as an employment agency in relation to this role.

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