Head of Control Room
1 week ago
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.
EXPERIENCE REQUIRED:
- Proven experience in a senior Control Room related role within an investment bank or financial institution.
- Strong knowledge of information barriers, regulatory frameworks (e.g., FCA), and conflict management practices.
- Exceptional leadership, communication, and organizational skills, with a track record of building teams and implementing processes.
- Ability to navigate complex regulatory environments and influence stakeholders effectively.
For further information please contact Marcus Courtney
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