Compliance AVP (Control Room)

Full-Time No home office possible

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Our client is a successful banking firm with a strong global presence across Wholesale and Capital Markets.

Managing Inside Information Disclosure
Management of Conflict of interest
Review of Personal Account Dealing
Review of Outside Business Activities
Address requests received by the Control Room and participate in day-to-day operations of Control Room activities
Contribute to updates on procedures and resources
Participate in the review of conflict of interest, to ensure conflicts are appropriately managed by the firm.
Manage Information Barriers including the management of Inside Information.
Manage the Watch List and Restricted List.
Contribute and participate in monthly second line of defence control testing.
Review and approve personal account dealing requests to mitigate the risk of insider dealing.
Prepare Control Room MI
Provide support to the compliance advisory teams on ad hoc projects.
To keep up to date with legal and regulatory compliance developments by attending seminars
To engage with stakeholders
To identify potential improvements in compliance systems, reports and processes.
To introduce more effective MI analysis, production and presentation.
Perform any other Compliance related duties as required

Proven experience in a Control Room related role within an investment bank or financial institution.
Strong knowledge of information barriers, regulatory frameworks (e.g., FCA), and conflict management practices.
Exceptional leadership, communication, and organizational skills, with a track record of building teams and implementing processes.
Ability to navigate complex regulatory environments and influence stakeholders effectively.
Strong attention to detail
Excellent interpersonal and presentation skills
Proven ability to manage competing priorities and deliver high-quality work within agreed deadlines.

For further information please contact Natalie Eshelby.

London, England, United Kingdom

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