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- Tasks: Oversee compliance, manage control room activities, and ensure regulatory alignment.
- Company: Leading Investment Bank with a strong focus on compliance and ethics.
- Benefits: Generous salary, excellent career progression, and inclusive work culture.
- Why this job: Join a dynamic team and make a real impact on compliance and regulatory standards.
- Qualifications: Experience in compliance, strong communication skills, and ability to manage relationships.
- Other info: Low staff turnover and opportunities for professional growth.
The predicted salary is between 43200 - 72000 £ per year.
An excellent opportunity has arisen at a leading Investment Bank for someone to join the Compliance Control Room and Advisory team at Associate Director level. The role provides unrestricted access to the bank\’s records, including investment activities and all staff involved, to ensure effective oversight and compliance.
Within the role, you will align regulatory priorities with business objectives, build and maintain strong relationships with regulators, and oversee an effective control environment. The role involves identifying, assessing, and communicating compliance risks to senior management, ensuring that reputation and regulatory matters are appropriately managed across the business.
Some of the responsibilities will include, but are not limited to:
- Managing core Control Room activities: Research escalations, Watch & Restricted Lists, deal updates, Information Barriers, and disclosures to regulators.
- Designing policies, delivering compliance training, and providing guidance to the business on evolving regulatory requirements.
- Conducting monitoring, investigations, and reporting breaches in line with the firm’s compliance framework.
- Preparing MI for senior management and liaising with regulators (FCA, Takeover Panel) as required.
- Promoting high standards of conduct, ethics, and regulatory compliance across the organisation.
In return they are offering a generous remuneration package, excellent career progression opportunities, an inclusive work culture and a low staff turnover.
Associate Director, Control Room & Compliance Advisory employer: Ingenii Search
Contact Detail:
Ingenii Search Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Associate Director, Control Room & Compliance Advisory
✨Tip Number 1
Network like a pro! Reach out to your connections in the finance and compliance sectors. We all know that sometimes it’s not just what you know, but who you know. Attend industry events or webinars to meet potential employers and get your name out there.
✨Tip Number 2
Prepare for those interviews! Research the company and its compliance culture thoroughly. We want you to be able to discuss how your experience aligns with their needs, especially around managing compliance risks and building relationships with regulators.
✨Tip Number 3
Showcase your expertise! Bring examples of how you've successfully managed compliance activities in the past. We’re talking about real-life scenarios where you’ve designed policies or conducted investigations. This will help you stand out as a candidate who can hit the ground running.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive and engaged with our brand. Let’s get you that Associate Director role!
We think you need these skills to ace Associate Director, Control Room & Compliance Advisory
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the role of Associate Director in Control Room & Compliance Advisory. Highlight relevant experience and skills that align with the job description, especially around compliance, regulatory relationships, and risk management.
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 specific experiences that demonstrate your ability to manage compliance risks and build relationships with regulators.
Showcase Your Achievements: Don’t just list your responsibilities; showcase your achievements! Use quantifiable results where possible to illustrate how you've successfully managed compliance activities or improved processes in previous roles.
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 ensures you don’t miss out on any important updates from us!
How to prepare for a job interview at Ingenii Search
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulatory requirements and compliance frameworks relevant to the investment banking sector. Being able to discuss specific regulations and how they impact the role will show that you're not just familiar with the basics, but that you’re genuinely engaged with the field.
✨Showcase Your Relationship-Building Skills
Since the role involves liaising with regulators and maintaining strong relationships, prepare examples of how you've successfully built and managed relationships in previous roles. Think about times when your communication skills made a difference in compliance or regulatory matters.
✨Prepare for Scenario-Based Questions
Expect questions that ask how you would handle specific compliance scenarios or risks. Practise articulating your thought process and decision-making strategies. This will demonstrate your analytical skills and ability to navigate complex situations effectively.
✨Highlight Your Leadership Experience
As an Associate Director, you'll need to lead teams and influence others. Be ready to discuss your leadership style and provide examples of how you've guided teams through compliance challenges or training initiatives. This will help interviewers see you as a potential leader within their organisation.