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Compliance Control Room Manager

2 months ago

London, Greater London, United Kingdom Barclay Simpson Full time

Barclay Simpson is seeking a Compliance Control Room Manager to provide management of the Control Room function on a day-to-day basis. The successful candidate will be responsible for managing and maintaining all policies and procedures for the control room, ensuring the processing, preparation, and submission of all daily control room reports as required. This includes the Daily Restricted List, Credit Research List, PA Dealing Stop & Watch List, Short Selling Reports, Takeover Panel Reports, Watch List/Restricted List Monitoring, processing of PAD requests, Gift & Entertainment requests, and Outside Business Interests submissions. The role will also involve additional exposure to the central compliance function, making it more than just a control room role. The ideal candidate will have an understanding of regulatory compliance in capital markets and sales and trading. Hybrid working is available, with 3 days in the office and 2 days at home. If you are interested in this opportunity, please submit your CV for further consideration.