Head of Control Room

4 weeks ago


London, United Kingdom Compliance Professionals Full time
Job Description

THE COMPANY:


We have been engaged by an international banking Group who are looking to establish a control room in the UK.









THE RESPONSIBILITIES:


  • Establish and Lead the Control Room Function: Build the Control Room department from scratch
  • Develop Policies and Procedures: Design and implement robust policies and procedures to manage information barriers, monitor conflicts of interest, and ensure regulatory compliance across all business lines.
  • Manage Insider and Confidential Information: Oversee the tracking, handling, and safeguarding of material non-public information (MNPI) while ensuring adherence to regulatory and internal requirements.
  • Conflict Management: Identify, assess, and manage potential conflicts of interest, including those arising from investment banking, research, and trading activities.
  • Regulatory Compliance and Reporting: Stay updated on relevant regulatory developments, ensure adherence to applicable laws, and prepare accurate compliance reports for senior management and regulatory bodies.
  • Stakeholder Collaboration: Serve as a trusted advisor to business units and senior management, fostering a culture of compliance and providing strategic guidance on regulatory and reputational risks.


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