Senior Manager, Compliance Control Room

Senior Manager, Compliance Control Room

Job description

Responsibilities

brief) :

Overseeing the day-to-day administration of Control Roompliance programs as it relates to information barriers and managing conflicts of interests that may be present within the Bank's Corporate & Investment Banking, Capital Markets and Research businesses.

This includes responsibility for :

- Conflict clearance processes
- All aspects of global lists management supporting Global Control Room colleagues within a rotating coverage model
- Facilitating barrier crossing requests and maintenance of employee barrier status lists
- Responding to regulatory requests as they relate to the Control Room
- Supporting monitoring and surveillance programs as relates to the global lists






- Providing support to the securities aggregationponent of the Global Control Room (including proprietary trade pre-clearance).

Skills desired (brief) :

- Solid relevantpliance experience, control room and / or corporate & investment bankingpliance experience
- Requires an in-depth knowledge andprehension of EU and UK MAR rules.
- Good understanding of applicable international securities rules and regulations relating to research, investment banking and securities underwriting
- Outstanding written and spokenmunication skills with ability to influence effectively.
- Excellent teamwork, interpersonal and conflict resolution skills
- Highly organized and capable of dealing withplex projects and juggling multiple priorities.

In ourpany values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.

Job ID CRSM2

▶️ Senior Manager, Compliance Control Room
🖊️ Goodman Masson
📍 London