Compliance AVP (Control Room)

THE COMPANY:

Our client is a successful banking firm with a strong global presence across Wholesale and Capital Markets.

THE RESPONSIBILITIES:

• Managing Inside Information Disclosure
• Management of Conflict of interest
• Review of Personal Account Dealing
• Review of Outside Business Activities
• Address requests received by the Control Room and participate in day-to-day operations of Control Room activities
• Contribute to updates on procedures and resources
• Participate in the review of conflict of interest, to ensure conflicts are appropriately managed by the firm.
• Manage Information Barriers including the management of Inside Information.
• Manage the Watch List and Restricted List.
• Contribute and participate in monthly second line of defence control testing.
• Review and approve personal account dealing requests to mitigate the risk of insider dealing.
• Prepare Control Room MI
• Prepare documentation for dissemination
• Provide support to the compliance advisory teams on ad hoc projects.
• To keep up to date with legal and regulatory compliance developments by attending seminars
• To engage with stakeholders
• To identify potential improvements in compliance systems, reports and processes.
• To introduce more effective MI analysis, production and presentation.
• Perform any other Compliance related duties as required

EXPERIENCE REQUIRED:

• Proven experience in a 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.
• Strong attention to detail
• Excellent interpersonal and presentation skills
• Proven ability to manage competing priorities and deliver high-quality work within agreed deadlines.

For further information please contact Natalie Eshelby