Compliance, Internal Audit & Risk

Senior Manager, Compliance Control Room

London

Expiry date:
2024-07-03
Start date:
ASAP
Job type:
Permanent
Job ID:
CRSM2

About the role:

Responsibilities (brief):

Overseeing the day-to-day administration of Control Room compliance 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 aggregation component of the Global Control Room (including proprietary trade pre-clearance).

Skills desired (brief):

  • Solid relevant compliance experience, control room and/or corporate & investment banking compliance experience
  • Requires an in-depth knowledge and comprehension 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 spoken communication skills with ability to influence effectively.
  • Excellent teamwork, interpersonal and conflict resolution skills
  • Highly organized and capable of dealing with complex projects and juggling multiple priorities.

If interested, please apply. Alternatively, email chris.norton@goodmanmasson.com for a confidential discussion.

In our company 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.

Expiry date:
2024-07-03
Start date:
ASAP
Job Type:
Permanent
Job ID:
CRSM2

Sounds good?

Does this role sound like the right for for you? Apply using the form and one of the Goodman Masson team members will get back to you as soon as possible. Good luck!

Apply for the role


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