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Compliance Control Room Manager

Michael Page
Closing date
29 Oct 2021

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Salary Band
Contract Type
Full Time
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Highly regarded international bank based in London office.

Job Description
As the compliance control room manager you will be responsible for:

List maintenance (for example, watch, restricted, rating change, ownership limits, NI 81-102)

Wall crossing

Conflict management

Research (including acting as a chaperone of communications between CIB and Research, draft research publication review, and equity and fixed income disclosures)

Regulatory requests

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.

Lucy O'Donnell

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