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- Tasks: Lead compliance activities and provide expert advice to senior leaders in investment banking.
- Company: Top global investment bank with a focus on compliance and regulatory excellence.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Why this job: Make a real impact in compliance while working in a fast-paced investment banking setting.
- Qualifications: Strong compliance experience and knowledge of UK/EU regulatory frameworks required.
- Other info: Opportunity for career growth in a leading financial institution.
The predicted salary is between 72000 - 108000 £ per year.
Control Room, Compliance Advisory – VP equivalent
To be considered for an interview, please make sure your application is full in line with the job specs as found below.
Investment Banking
London – 4x a week in office
We’re partnering with a leading global investment bank to identify a leader in Control Room, Compliance Advisory for their London office.
Key Responsibilities:
- Manage Control Room activities including clearance of Research escalations, Watch & Restricted Lists, deal updates, information barrier management and regulatory disclosures.
- Provide clear, timely compliance advice to senior business leaders.
- Maintain and develop policies and procedures aligned with evolving FCA and Takeover Panel requirements.
- Deliver compliance training and contribute to monitoring and surveillance frameworks.
- Support regulatory interactions, investigations, and ad-hoc advisory queries.
Key Requirements:
- Strong compliance experience within investment banking or research advisory environments.
- Knowledge of UK and EU regulatory frameworks, particularly FCA Handbook and Takeover Panel rules.
- Proven ability to manage sensitive information and navigate complex regulatory issues.
- Strong attention to detail, organisational skills and the ability to work under pressure.
If this sounds interesting and like a good match, please apply or share a copy of your CV to sam.vale@blackswangroup.com for a confidential discussion.
Control Room Compliance employer: Black Swan Group
Contact Detail:
Black Swan Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Control Room Compliance
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment banking sector and let them know you're on the hunt for a Control Room Compliance role. A personal recommendation can go a long way in landing that interview.
✨Tip Number 2
Prepare for those tricky interview questions! Brush up on your knowledge of the FCA Handbook and Takeover Panel rules, as well as your experience with compliance in investment banking. We want you to shine when it comes to showcasing your expertise.
✨Tip Number 3
Don’t forget to follow up! After an interview, shoot a quick thank-you email to express your appreciation for the opportunity. It shows your enthusiasm and keeps you fresh in their minds.
✨Tip Number 4
Apply through our website! We’ve got loads of opportunities waiting for you, and applying directly can sometimes give you an edge. Plus, we’re here to support you every step of the way!
We think you need these skills to ace Control Room Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Control Room Compliance role. Highlight your relevant experience in compliance and investment banking, and don’t forget to mention any specific knowledge of the FCA Handbook or Takeover Panel rules.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for this role. Mention your strong attention to detail and organisational skills, and how they’ll help you manage sensitive information effectively.
Showcase Your Regulatory Knowledge: Since this role involves navigating complex regulatory issues, make sure to showcase your understanding of UK and EU regulatory frameworks. This will demonstrate your capability to provide clear compliance advice to senior business leaders.
Apply Through Our Website: We encourage you to apply through our website for a smoother application process. It’s the best way for us to receive your application and get you on the path to joining our team!
How to prepare for a job interview at Black Swan Group
✨Know Your Compliance Stuff
Make sure you brush up on your knowledge of the FCA Handbook and Takeover Panel rules. Being able to discuss these frameworks confidently will show that you're not just familiar with compliance, but that you can navigate complex regulatory issues like a pro.
✨Prepare for Scenario Questions
Expect questions about how you would handle specific compliance scenarios, such as managing sensitive information or dealing with escalations. Think of examples from your past experience where you've successfully navigated similar situations and be ready to share them.
✨Showcase Your Organisational Skills
Since this role requires strong attention to detail and the ability to work under pressure, prepare to discuss how you manage your workload and prioritise tasks. Bring up any tools or methods you use to stay organised and ensure compliance in your previous roles.
✨Engage with the Interviewers
Don’t just answer questions; engage with your interviewers. Ask insightful questions about their compliance processes and how they handle regulatory interactions. This shows your genuine interest in the role and helps you assess if the company is the right fit for you.