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Control Room Manager

  • London
  • VP/Director level
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Exciting opportunity to join a global investment bank to lead the control room function.

This is an exciting firm that has recently gone through some changes on the business side. The compliance team is strong and established and well respected. If you are working in the control room and want to have more responsibility please get in touch.

Key Responsibilities:

  • Manage the Control Room compliance programs, managing information barriers and conflicts of interest within the CIB and capital markets businesses.
  • Handle conflict clearance processes, manage global lists and support the Research Supervisory Analyst team in conflict resolution and research disclosures.
  • Facilitate barrier crossing requests and maintain employee barrier status lists.
  • Advise front office personnel on the GBM&T Restricted List and respond to regulatory requests related to the Control Room.
  • Support monitoring and surveillance programs and securities aggregation for the Global Control Room.
  • Develop and manage talent within the team, promoting knowledge sharing and personal development.
  • Drive a customer-focused culture and maintain strong industry contacts.
  • Report monitoring results to senior Compliance management.
  • Collaborate with the broader Compliance team on policies, procedures, regulatory requirements, and industry best practices.
  • Provide Control Room-related compliance training to various business areas.
  • Participate in developing internal policies and procedures to enhance the Global Control Room program and adapt to regulatory changes.
  • Assess and incorporate new technology for Global Control Room processes, supporting digital transformation initiatives.
  • Review and address issues identified through monitoring functions, recommend corrective actions or process improvements.

Experience:

  • Extensive compliance experience in control room or corporate & investment banking.
  • In-depth knowledge of EU and UK Market abuse (MAR) rules.
  • Understanding of international securities rules and regulations for research, investment banking, and securities underwriting.
  • Strong written and verbal communication skills, with effective influence and conflict resolution abilities.
  • Excellent teamwork and organizational skills, capable of managing complex projects and multiple priorities.

Salary is at VP/Director level.

Hybrid working 3/2

Please message me for more information on the package

Ne@barclaysimpson.com

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Nick Evans – Compliance

Executive Consultant

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