Head of Control Room
3 days ago
The individual will be responsible for training new Control Room hires as well as other personnel in other departments. This role is in the London Compliance team, reporting into the Global Head of Advisory Compliance, and is located in the Group’s headoffice in London.
**Responsibilities**
- Developing Control Room policies and procedures
- Delivering training and guidance to Control Room new hires, as well as to other colleagues within the Compliance division
- Liaising with the Takeover Panel as required
- Ensuring appropriate review of independent investment research prior to publishing
- Maintenance of the Watch and Restricted Lists
- Coordinating and approving wall crossings
- Advising on matters relating to the publishing of research arising from the US Securities Rules (including analysis of safe harbours for research), Takeover Panel research restrictions, and FCA COBS rules.
- Advising Research and Wealth Management on matters relating to the Restricted List
- Chaperoning communications between equity research and banking personnel
- Leading and participating in compliance projects and initiatives.
- Liaison with overseas offices on cross-border issues.
**Experience and Competencies required**
Experience
- Experience commensurate with a senior role, gained within the Control Room or Investment Banking or Research Compliance departments of an investment bank.
- Knowledge and understanding in relation to the US Securities Rules and safe harbours applicable to research production, the UK Takeover Code, the Market Abuse Regime and rules and principles relating to the independence of research.
-
Control Room Head of Operations
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Control Room Head of OperationsThe estimated salary for this role is £110,000 per annum.About Our Client:We are seeking an experienced professional to head our control room operations in the UK.Job Responsibilities:Lead Control Room Team: Establish and lead the Control Room function, overseeing the development of policies and procedures.Policies...
-
Head of Control Room Compliance
7 days ago
London, United Kingdom Rothschild & Co Full time**About us** As one of the world's largest independent financial advisory groups, we know that it takes a distinct perspective to make a meaningful difference to our clients’ business and wealth. Rothschild & Co is a global and family-controlled group. We provide M&A, strategy and financing advice, as well as investment and wealth management solutions to...
-
Head of Global Control Room
7 months ago
London, United Kingdom RBS Full timeJoin us as Head of Global Control Room - In this role, you’ll lead teams to identify and manage transactional and employee conflicts of interest and establish and monitor the effectiveness of the bank’s information barriers - You’ll be providing leadership, direction, inspiration, motivation, coaching and support to key role holders to maximise...
-
Head of Global Control Room
6 months ago
London, United Kingdom NatWest Group Full timeRisk Oversight & Challenge, Control, Oversight & Assurance Head of Global Control Room (9 months) - London, United Kingdom- Fixed Term Contract- Full Time#R-00230108
-
Head of Control Room
3 weeks ago
London, United Kingdom Compliance Professionals Full timeJob DescriptionTHE 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 scratchDevelop Policies and Procedures: Design and implement robust policies and procedures to manage information...
-
Head of Control Room
3 weeks ago
London,, UK, United Kingdom Compliance Professionals Full timeTHE 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 scratchDevelop Policies and Procedures: Design and implement robust policies and procedures to manage information barriers, monitor...
-
Head of Control Room
3 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE 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 scratchDevelop Policies and Procedures: Design and implement robust policies and procedures to manage information barriers, monitor...
-
Head of Control Room
3 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE 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 scratchDevelop Policies and Procedures: Design and implement robust policies and procedures to manage information barriers, monitor...
-
Head of Control Room
5 days ago
London Area, United Kingdom Compliance Professionals Full timeTHE 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 scratchDevelop Policies and Procedures: Design and implement robust policies and procedures to manage information barriers, monitor...
-
Head of Control Room
5 days ago
London Area, United Kingdom Compliance Professionals Full timeTHE 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,...
-
Head of Control Room
5 days ago
London Area, United Kingdom Compliance Professionals Full timeTHE 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 scratchDevelop Policies and Procedures: Design and implement robust policies and procedures to manage information barriers, monitor...
-
Control Room Advisory VP
2 weeks ago
London, Greater London, United Kingdom FincSelect Full timeWe're FincSelect, a leading global investment bank, and we're seeking a seasoned professional to join our compliance team. As Compliance Control Room AVP, you'll be responsible for:Conflicts of interest managementInsider list maintenanceWatch list updatesMNPI and wall crossing oversightYou'll work closely with the Head of Control Room and the Head of...
-
Head of Control Room
4 weeks ago
London, United Kingdom Compliance Professionals Full timeTHE 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...
-
Control Room Operative
7 months ago
London, United Kingdom EXPEDIENT SECURITY LTD Full timeWith years of industry experience across all sectors of the security industry, Expedient Security Limited are proud to be involved with many of the UK’s most iconic event venues and spaces. We work with companies and individuals across a wide range of industries, to ensure the protection of their property, possessions, and people, with our speciality...
-
Control Room Operative
7 months ago
London, United Kingdom EXPEDIENT SECURITY LTD Full timeWith years of industry experience across all sectors of the security industry, Expedient Security Limited are proud to be involved with many of the UK’s most iconic event venues and spaces. We work with companies and individuals across a wide range of industries, to ensure the protection of their property, possessions, and people, with safety and security...
-
Control Room Operative
7 months ago
London, United Kingdom EXPEDIENT SECURITY LTD Full timeWith years of industry experience across all sectors of the security industry Expedient Security Limited are proud to be involved with many of the UK’s most iconic event venues and spaces. We work with companies and individuals in a varied range of industries to ensure the protection of their property, possessions, and people with the events industry...
-
Senior Compliance Officer
3 weeks ago
London, Greater London, United Kingdom Compliance Professionals Full timeJob Title: Head of Control Room OperationsJob Summary:We are seeking a highly experienced and skilled professional to join our team as a Head of Control Room Operations. The successful candidate will be responsible for developing and implementing policies and procedures to ensure regulatory compliance across all business lines.Responsibilities:Design and...
-
Control Room Controller
7 months ago
London, United Kingdom Wilson James Full timeWilson James have been raising standards in security, construction logistics, aviation services, and technology for over 30 years. With 5,000 employees and a presence across over 300 client sites all over the UK, we are dedicated to delivering tailored solutions and top-tier customer service. As a leading managed service provider, we prioritise safety,...
-
Eme Control Room
5 days ago
London, United Kingdom Barclays Full time**EME Control Room Manager** **London** As a Barclays EME Control Room Manager, you will manage Legal, Regulatory and Reputational Risk across all lines of business. This involves business critical functions in respect of key controls to manage Market Abuse and potential Conflict of Interest via Information Barriers, Regulatory Insider Lists together with...
-
Control Room Professional
2 days ago
London Area, United Kingdom FincSelect Full timeKey ResponsibilitiesDevelop and implement effective compliance policies and proceduresAnalyze and mitigate risks associated with conflicts of interest, Insider list, Watch list, MNPI, and wall crossingCollaborate with the Head of Control Room and other stakeholders to ensure alignment with regulatory requirementsFincSelect offers a comprehensive benefits...