Manager - Compliance Control Room - London, United Kingdom - Goodman Masson

Goodman Masson
Goodman Masson
Verified Company
London, United Kingdom

1 week ago

Tom O´Connor

Posted by:

Tom O´Connor

beBee Recruiter
Description

Responsibilities:
The incumbent will be responsible for administering Compliance programs with respect to the use and protection of confidential and material non-public information and managing certain conflicts of interests which includes:

  • Global list maintenance (for example, watch, restricted, rating change, ownership limits, NI
  • Coordinating barrier crossing requests and maintenance of barrier status lists for the UK and Europe businesses
  • Transactional conflicts management
  • Research (including acting as a chaperone of communications between CIB and Research, draft research publication review, and equity and fixed income disclosures)
  • Support monitoring and surveillance programs as relates to the global lists
  • Assist in the development of KRIs and KPIs as relates to the Europe Control Room
  • Provide Control Room related Compliance training to various business areas in UK and Europe
  • Work collaboratively with Europe and global Compliance teams including, working closely with, and sharing information with global Control Room colleagues
  • Provide support to the securities aggregation component of the Control Room (including proprietary trade preclearance)
  • Escalation of significant potential issues for review and remediation.

Skills:


  • Post-Secondary education and/or professional designations
  • Solid related experience at a major financial institution
  • Indepth knowledge of regulatory and Compliance requirements and issues in the Global Banking, Markets & Treasury business lines and the securities industry
  • Knowledge of industry practices regarding institutional Compliance matters
  • Knowledge of Capital Markets
  • Effective communication skills both oral and written

The following skills would be an asset:

  • Bloomberg
  • In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you._
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