I am currently recruiting for a Control Room Manager for a 12-month contract with a leading International Investment Bank.
- Taking ownership for the the daily activities of the Control Room, these include: conflicts clearances (transactional & staff related); wall-crossings; deal entry; maintenance of insider lists; maintenance of watch, grey and restricted lists; research disclosures.
- Performing control checks to ensure quality assurance and to ensure Staff adherence to conflicts related policy requirements (e.g. Personal Account Trading, Outside Business Interests)
- Drafting and maintenance of Control Room desk procedures to ensure alignment to current processes.
- Providing ongoing advice and training to Staff on Control Room related topics.
- Contribution to Conflicts of interest risk assessments.
- Managing and maintaining the permanent insider list.
Preferred Qualifications and Experience
- Extensive experience in a Control Room or Investment Banking Compliance Advisory role.
- Practical experience on providing Compliance advice to a Private Side business.
- Excellent understanding of the risks associated with conflicts of interest.
- Strong knowledge of control frameworks to identify and manage conflicts of interest.
- In-depth knowledge of FCA Principles and Conduct of Business rules.
- Knowledge of Market Abuse/Insider Dealing laws and regulations.
Morgan McKinley is acting as an Employment Business in relation to this vacancy.
Please note that any references to salary or pay rates in this advertisement and in the salary refinement section are indicative only and should only be used as a guide.