Vice President - Control Room

My client is a leading Investment Bank with a strong global presence. Due to expansion they are seeking a Compliance Manager Room to run the Control Room in London. Reporting directly to the Head of Compliance, key duties and responsibilities of the role are as follows;

*Develop a comprehensive set of Control Room processes and controls so all transactions and potential conflicts are appropriately managed.
*Implement a consistent framework for activity across all jurisdictions in conjunction with global compliance teams.
*Monitor and advise on watch lists, insider lists, personal account dealing transactions and outside business interests.
*Responsible for management of employee compliance and Control Room staff.
*Be accountable for managing the oversight of the businesses daily submissions to the share aggregation system.
*Provide technical advice in respect of LSE rules, regulatory policy and listed products and instruments.
*In depth practical knowledge of FSA and global regulatory rules and regulations, including the practical application of such rules.
*In depth knowledge of the panel on takeovers and mergers rules.
*A detailed understanding of large shareholding reporting.
*Ad hoc projects as directed by the Head of Compliance.

Ideally you will be of graduate calibre and have at least five years compliance experience gained within the investment banking sector. It is also envisaged you will have a deep knowledge of the UK and global regulatory environment combined with practical experience of running a Control Room within a investment bank. Lastly, it is desirable that you are a good communicator and able to provide clear concise information in a fast paced environment.

Please contact Clem Cull on 0207 065 1224

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