Compliance Manager

Experience required

• Control room monitoring experience
• Excellent knowledge of Takeover Panel rules including relevant disclosures under rules 8.1 and 8.5.
• Detailed knowledge of Information Barriers setup and processes
• Thorough knowledge and understanding of Watch/Grey and Restricted list processes.
• Strong knowledge and experience of Investment Research Clearance.
• Solid working knowledge of the UK regulatory framework and its application to banking.
• Excellent awareness of risk and fundamental risk concepts.

An Investment bank in London is seeking an experienced Control Room Compliance Manager. Compliance is an independent function within the bank and is responsible for providing specialist advice and support to UK Senior Management, business lines and functions in adhering to internal controls and external rules and managing compliance risks.

The function typically acts as a second line of defence covering areas including; controls, assurance, monitoring, professional ethics, training and competence, whistleblowing, money laundering, market abuse, financial security and regulatory liaison.