Highly regarded international bank based in London office.
As the compliance control room manager you will be responsible for:
List maintenance (for example, watch, restricted, rating change, ownership limits, NI 81-102)
Research (including acting as a chaperone of communications between CIB and Research, draft research publication review, and equity and fixed income disclosures)
Insider trade reporting (Bank)
and securities aggregation (including proprietary trade pre-clearance).
Identifying potential conflicts of interest and escalating the management of these conflicts as required.
Expected to apply regulatory requirements and policy guidance with minimal supervision, provide advice to senior professional staff in the various business units, and identify, investigate and escalate any exception conditions to the Senior Manager or Director, Control Room.
The Successful Applicant
The successful compliance control room manager will have:
Post-Secondary education and/or professional designations
Solid related experience at a major financial institution
In-depth knowledge of regulatory and compliance requirements and issues in the Global Banking and Markets business lines and the securities industry
Knowledge of industry practices regarding institutional compliance matters
What's on Offer
Competitive salary please enquire.
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