EMEA Head of Control Room

TOP TIER IB ARE RECRUITING FOR A HEAD OF CONTROL ROOM



Core Responsibilities Include:
Manage the Control Room to ensure that appropriate controls are in place in relation to confidential information flows within Corporate Markets
(Insider Dealing, Conflicts of Interest, Watch/Restricted/Grey lists, Non-disclosure agreements, Chinese walls and any other applicable requirements)
* Ensure that Investment Research and Takeover Panel requirements are understood within the business and that processes and controls are in place
to meet those requirements.
* Ensure that appropriate advice and guidance is provided to the business to ensure that processes and controls are in place in relation to confidential
information flows.
* Ensure that effective monitoring and control systems are in place in order that all compliance related issues are readily identified and remedial actions
implemented in order to minimise risk.
* Ensure that appropriate advice, guidance, direction and interpretation is provided to the business with regards to Control Room issues.
* Develop relationships at a senior level across the designated areas of the business.
* Define and implement a proactive compliance training programme to ensure that staff are aware of their respective responsibilities in relation to
control room requirements.
* Manage, motivate, develop and appraise direct reports to ensure that their performance meets the present and future needs of the business.
* Provide support to Senior Management in the interpretation of regulatory changes and their likely impact on Control Room processes, procedures,
controls and products.
* When required initiate/manage compliance related projects ensuring these are delivered on time and to specification.



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