Complinet | Recruitment

Complinet | Recruitment | JobComplinet | Recruitment | JobCompliance Control Room (1137220)http://www.complinet.com/recruitmentjobs/job/details/id/10844£40000-£50000 | Location: London | Sector: Compliance & Regulation | Published: May 25th 2010 | My client is a large financial services institution in London; they are looking to add to their compliance team specifically on the Control Room side. The Control Room function supports all business units by providing a control environment and acting as a central clearing house for Conflicts of Interest in order to mitigate regulatory and reputational risks. Key Responsibilities will include: · Update and maintain GCR, the secure Global Control Room system used by the Control Room hubs. This system will maintain the Global Marketing, Watch and Restricted Lists in addition to specialised lists. · Update and maintain the Global Restricted Trading list in accordance with the GRTL Guidelines, provide prompt notification of restrictions to the Businesses. · Help manage the system administration of the GRTL and any other systems in use by the Control Room, including any feature enhancements that are necessary to effect more timely notification to compliance officers and business of any changes to these lists. · Monitor the content of the Equity Research morning Meeting and pre-clear Equity and Credit Research prior to distribution to clients. · Review Research Guidelines, prepare relevant pre-deal disclaimers and approve pre-deal research reports prior to distribution · Responsible for pre-clearing equity derivative products, portfolio management group and any other areas identified as necessary to avoid conflicts all against the GRTL, watch lists and applicable work in progress lists (such as the research deal flow). · Notify the Global Head of Control Room Compliance and BU Compliance generally of any perceived areas identified through day to day interactions that might indicate need for further training/clarification of policies within a specific office or business area. Skills and experience: · Educated to degree level · Must have a legal, audit, risk management or regulatory background · Banking or financial services industry experience · Control Room experience · Good knowledge of rules and regulations in relation to conflicts of interest and the publication of research (COBS 12) If you would like to apply for this role or find out more, please apply online or contact Faye Condy at Robert Walters on 0207 509 8133 or faye.condy@robertwalters.com quoting the Job Reference 1137220