Control Room Analyst
An International bank with Pan-European territorial coverage and an expanding presence in Asia seeks a Compliance Control Room Officer to join their team.
The Firm:
The bank has superior coverage in all jurisdictions in mainland Europe with an expanding presence in the CIS countries, the Middle East, Asia and regional coverage in Argentina and New York in the US. The group employs over 150,000 people globally.
The London office acts as a central hub for all capital markets activities in Europe and as such the Compliance team provides guidance and regulatory support for all EMEA Capital Markets operations. The Control Room is responsible for enforcing procedures designed to prevent and detect the misuse of material non-public information and managing conflicts for the Firm.
This is accomplished by a number of functions including:
• Watch Restricted List management
• Watch and Restricted List trade monitoring
• Any other compliance or regulatory related matters
Key Responsibilities/Accountabilities:
• Maintenance of Restricted and Watch Lists as well as associated record keeping and processes in line with published procedures.
• Performing Watch and Restricted List trade monitoring in line with published procedures.
• Work on ad-hoc Global Control Group Projects: Committee memberships, cross-border projects and interactions, local interactions within the branch, authorities, etc.
• Assist with the development, testing and implementation of new systems as and when required.
• Close liaison with compliance colleagues in Local Compliance teams across the Group.
• Assist with the training of compliance colleagues and the business as and when required.
• Attendance at industry group meetings and events (e.g. SHCOG, Control Room Round Table) when required.
Knowledge:
• Good knowledge of financial services industry
• Good knowledge of UK Financial Services Regulations
• Good knowledge of EU Financial Services Regulations
• Good knowledge of Investment Bank products and services
Skills:
• Good communication skills, written and oral
• Assertive and confident manner
• Team player
• Self motivated
• IT literate
• Qualifications/Training:
• University degree or equivalent
• Regulation and Compliance related qualifications
Previous Experience:
• Trade monitoring experience
• Watch Restricted List experience
• At least 2 years control room experience
• Experience of Regulatory visits
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