Compliance Control Room Manager – Investment Banking recruitment
Our client, a global financial institution is looking for a compliance control room manager to join their control room and work with the business and other departments to mitigate regulatory risks and facilitate the compliance culture.
Duties Include:
• Responsible for enforcing procedures designed to prevent and detect the misuse of material non-public information and managing conflicts.
• Reviewing and approving research in accordance with the regulatory and internal guidelines
• Develop maintain and implement Chinese Walls policies for the business
• Facilitate approval and monitoring of wall crossings.
• Mitigate the risk of legal or regulatory sanctions, material financial loss and reputational harm.
• Provide advice and training on compliance to ensure adherence with all relevant laws and regulations.
• Determine and escalate reputational issues, pre-empting and preventing regulatory breaches.
• Conduct reviews of Watch and Restricted List surveillance reports to detect potentially violate trading activity.
• Maintain strong positive relationships with front office.
• Update manuals, policies and procedures relating to the trade surveillance program.
• Build and maintain effective partnerships within the business.
The preferred candidate will ideally have an Investment Banking, Wholesale or Securities background and demonstrate strong knowledge of research clearance and conflict management issues. You should also possess excellent communication and interpersonal skills and be able to interact at all levels of business effectively.
If you are interested in this opportunity, please email your C.V. to inan@altussearch.co.uk or call Inan Rashid on 020 7430 1831 for a confidential discussion.
Altus Search Ltd is acting as an employment agency in relation to this role.