At a Glance
- Tasks: Lead the EMEA Control Room function and ensure compliance across multiple business lines.
- Company: Global investment bank with a focus on compliance and governance.
- Benefits: Competitive salary, leadership opportunities, and professional development.
- Other info: Join a team dedicated to excellence and innovation in compliance.
- Why this job: Shape the future of compliance in a dynamic investment banking environment.
- Qualifications: 10+ years in compliance with strong knowledge of market regulations.
The predicted salary is between 100000 - 150000 £ per year.
We are seeking an experienced Control Room Head to lead and evolve our regional Control Room function within a global investment banking environment.
This is a senior leadership opportunity for a compliance professional with deep expertise in market abuse regulation, conflicts of interest, and Control Room operations.
In this highly visible role, you will shape the strategic direction of the EMEA Control Room framework, partnering with senior stakeholders across Banking, Markets, and Compliance to ensure robust governance and regulatory compliance.
You will also lead a team while helping develop global standards and best practices.
Responsibilities
- Lead the EMEA Control Room function and oversee the regional framework for:
- Conflicts of Interest
- Watch Lists and Insider Lists
- Material Non-Public Information (MNPI)
- Wall Crossings
- Restricted Lists
- Act as the primary compliance adviser on Control Room matters across multiple business lines.
- Develop and enhance Control Room policies, procedures and governance frameworks.
- Provide practical regulatory advice and challenge to senior business stakeholders on market conduct and compliance risks.
- Partner with international colleagues to help shape global Control Room standards.
- Deliver training to front-office teams on regulatory obligations and conduct risks.
- Lead, coach and develop a team of compliance professionals while ensuring effective day-to-day operations.
Qualifications
- 10+ years' experience in a Control Room, Conflicts Office, Banking Compliance or Private Side Compliance Advisory function.
- Strong knowledge of capital markets and investment banking products, including loans, bonds, structured finance and sales & trading.
- Deep understanding of Market Abuse Regulation (MAR) and Mi FID II.
- Experience drafting policies, providing regulatory advice and delivering compliance training.
- Proven leadership or people management experience.
- #J-18808-Ljbffr
Director - Control Room Compliance in London employer: FincSelect
Join a dynamic and innovative fintech company in London, where you will play a pivotal role in shaping compliance strategies as they expand across Europe. With a strong focus on employee growth, the company offers a collaborative work culture that values your insights and encourages professional development. Enjoy the flexibility of a hybrid working model while being part of a high-growth environment gearing up for exciting new challenges.
