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Compliance Control Room Officer
1 month ago
Our investment banking client has been present in the UK for more than 150 years, they're a long-term partner to British business. Today, the Group is formed of 10 divisions and employs 9,300 staff based in 21 core locations right across the country. Their role is simply stated: help clients achieve their goals by combining local know-how and global reach. In so doing, they seek to make a positive, sustainable contribution to both the UK economy and society.
On behalf of this organisation, AMS are looking for a Compliance Control Room Officer for a 6-month long contract based in London (hybrid).
Purpose of the role:
To support management of the Control Room in ensuring the business has controls to manage the flow of Material Non-Public Information and to manage its various product lines and businesses to identify, manage, and escalate conflicts of interest to protect and enhance the reputation of the bank with its clients and regulators.
As a Compliance Control Room Officer, you will:
- Manage and control the Watch, Grey, and Restricted Lists; identify and resolve potential conflicts of interest.
- Assist the relevant business and functions areas in implementing key control room-related policies and procedures for the territory.
- Assist in ensuring the bank meet its regulatory requirements in relation to disclosures to the Takeover Panel, FCA, and other regulators.
- Review and approve research reports versus the Grey/Watch and Restricted Lists to ensure potential conflict of interest is cleared.
- Assist in leading key projects, including IT enhancements and policy and procedure updates.
- Contribute to the monitoring plan of the key activities of the Control Room.
- Contribute to committees by representing the UK Compliance function.
- Assist in the general management of Control Room.
What we're looking for:
- Prior experience in a in Control Room role.
- Knowledge and experience of Investment Research Clearance.
- Knowledge of compliance principles and processes related to Control Room activities.
- Knowledge of Information Barriers setup and processes.
- Knowledge and understanding of Watch/Grey and Restricted list processes.
- Good working knowledge of the UK regulatory framework and its application to banking.
- Good awareness of risk and fundamental risk concepts.
- Good analytical skills and an ability to translate knowledge and experience into advice and recommendations.
- Good working knowledge of the UK regulatory framework and its application to banking.
- Excellent written and verbal English skills in order to articulate technical issues and effectively communicate with individuals across the business.
- Proven ability to deal with senior business stakeholders.
- Computer literacy and a good knowledge of common software (Microsoft Office).
If you are interested in applying for this position and meet the criteria outlined above, please click the link to apply and we will contact you with an update in due course.
This client will only accept workers operating via an Umbrella or PAYE engagement model.
AMS, a Recruitment Process Outsourcing Company, may in the delivery of some of its services be deemed to operate as an Employment Agency or an Employment Business.
