- Manage the Control Room compliance programs, navigating information barriers and conflicts of interest within the CIB and capital markets businesses.
- Handle conflict clearance processes, oversee global lists, and provide support to the Research Supervisory Analyst team.
- Facilitate barrier crossing requests and maintain employee barrier status lists.
- Advise front office personnel on the GBM&T Restricted List and address regulatory requests related to the Control Room.
- Support monitoring and surveillance programs and securities aggregation for the Global Control Room.
- Develop and nurture talent within the team, fostering knowledge sharing and personal growth.
- Promote a customer-focused culture and uphold strong industry connections.
- Report monitoring outcomes to senior Compliance management.
- Collaborate with the broader Compliance team on policies, procedures, and regulatory requirements.
- Conduct Control Room-related compliance training across various business areas.
- Participate in enhancing the Global Control Room program by developing internal policies and procedures.
- Integrate new technology for Global Control Room processes to support digital transformation initiatives.
- Review and resolve issues discovered through monitoring functions, proposing corrective actions or process enhancements.
- Extensive compliance background in control room or corporate & investment banking.
- In-depth understanding of EU and UK Market Abuse Regulation (MAR) rules.
- Knowledge of international securities rules and regulations for research, investment banking, and securities underwriting.
- Effective written and verbal communication skills, with strong influence and conflict resolution capabilities.
- Outstanding teamwork and organizational abilities, adept at managing intricate projects and multiple priorities.
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Control Room Manager - United Kingdom - Barclay Simpson
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Description
Job Title: Control Room Compliance Manager
Company: Global Investment Bank
Exciting opportunity to join a leading global investment bank and take on the responsibility of overseeing the control room function. The firm has recently undergone significant business changes, boasting a strong and respected compliance team.
Key Responsibilities:
Experience:
Salary is at VP/Director level.
Hybrid working 3/2
Please reach out for further details on the package.