Senior Compliance Manager – Control Room recruitment

Our client is a tier one Investment Bank. They are currently looking for a Senior Compliance Officer to join the Control Room within their accomplished Compliance Department. The Control Room operates with global scope and is responsible for maintaining and protecting the integrity of the business’ Chinese Wall.

You main responsibilities will be:

• Liaising with the bankers, obtaining regular deal updates and salient transaction information.

• Monitoring and reviewing numerous business pipeline reports and publicly announced business.

• Liaising with the Conflicts Office, ensuring any conflicts cleared transactions are appropriately dealt with.

• Implementing the necessary sales, trading and research restrictions in line with businesses policies.

• Advising the public side business groups on the impact of restricted lists on their daily activities.

• Ensuring confidential non-public information is secured within an inside area and is appropriately managed.

• Maintaining the businesses insider lists.

• Advising on the appropriateness of proposed wall crossings, coordinating the process where necessary.

• Conducting information debriefings for employees moving from the private to public side.

• Advising on the Chinese Wall designations across the business.

• Providing Chinese Wall and insider induction/refresher training.

• Liaising with the Surveillance team, escalating any potential Chinese Wall breaches as necessary.

• Ensuring the business adheres to internal policy and any agreed research guidelines.            

• Acting as the Compliance chaperone for any relevant banker or research analyst communications.

• Liaising with the panel on takeover and mergers.

• Providing mentoring and coaching to less experienced members of the Control Room.

You will have a proven track record of working within the Control Room of an investment bank as well as possessing a solid understanding of any regulatory requirements surrounding this area. This role would be suited to someone looking to push their career to the next level through joining an established team that offers a wealth of experience and knowledge. This is an excellent opportunity to develop your existing skill set across a multitude of Compliance issues in a fast paced innovative environment that will constantly demand the best of you.

To discuss this role and others within Investment Banking please contact Khurram Somra on 02031453368 or at Khurram.somra@bruinfinancial.com.