Compliance Control Room Officer (FTC) Compliance Control Room Officer (FTC) …

Financial Services
in London, England, United Kingdom
Permanent, Full time
Last application, 21 Feb 20
GBP60000 - GBP75000 per annum
Financial Services
in London, England, United Kingdom
Permanent, Full time
Last application, 21 Feb 20
GBP60000 - GBP75000 per annum
A global banking client based in the City of London is currently seeking an experience Compliance Control Room Officer (FTC) to cover a maternity leave. The position will be responsible for Conflicts Management and Surveillance, amongst other general Compliance duties.

My client is a well established global banking firm, with a presence in the City of London.


The Compliance Officer role focuses on taking ownership over the Control Room function for the region. The role will require somebody to work intuitively and independently to manage the following:

Conflicts Management

  • Primary responsibility for the region's conflicts management platform. Primary responsibility for the Conflicts of Interest Policy, Global Information Barrier Policy and related procedures.
  • Primary responsibility for conflicts of interest monitoring and investigating, insider list and permanent insider list control and maintenance, wall crossing process as well as maintaining related logs and records.
  • Responsible for representing region on all Global Control Room conflicts management calls and committee meetings.
  • Responsible for the annual review of the region's Control Room Operating Level Document
  • Responsible for the annual review of the Global Information Barriers Policy and the ongoing update and maintenance of related procedures.
  • Responsible for responding to queries related to the Global Information Barriers Policy and the Conflicts of Interest Policy

Communications Surveillance

  • Responsible for investigating and resolving escalations received in relation to information barrier breaches.

Regulatory Reporting

  • Responsible for submitting regulatory disclosures under Takeover Panel Reporting, EU Short Selling, Transparency Directive TR1 - Major Shareholding and Issuer Requests
  • Responsible for submitting an insider list to the FCA upon request.


  • Proactively identify actual and potential violations of regulatory requirements, internal policies and procedures or other risk situations by conducting appropriate inquiries and investigations to ensure that appropriate corrective actions and/or risk mitigation actions are implemented in a timely manner or are escalated
  • Make recommendations and suggestions to relevant management on corrective or remedial measures to be taken and follow-up


Represent Compliance Europe in global projects that impact the conflict management platform.

Regulatory Awareness

Maintain a good working knowledge of European regulatory rules and principles and how these apply to business' Compliance program.


  • Primary responsibility for producing Control Room management information including KPI and KRIs to support monitoring of the business activity.
  • Update the issues log to ensure that issues identified are recorded, reported and resolved adequately


  • Assist on the formulation of new processes or systems to implement compliance with regulatory requirements and to strengthen the controls environment.
  • Liaising with internal and external audit and attend relevant meetings
  • Ensure prompt escalation of compliance issues
  • Maintain compliance knowledge through appropriate training and monitoring of emerging regulatory, legal and Group initiatives and requirements


The successful candidate will have worked in a Financial Services institution and have gained the following competencies:

  • Good working knowledge of UK and European regulatory rules and principles and how these apply to a Control Room
  • Superior knowledge of Microsoft applications (including Word, Excel and Power Point) and familiarity with the internet and related applications as tools for conducting compliance related research
  • Strong analytical skills and a keen eye for detail
  • Good time management and the ability to perform work to a high standard of accuracy under time pressure. Capable of simultaneously handling multiple tasks and meeting stringent deadlines
  • Well-developed interpersonal skills in order to provide a high level of service and maintain working relationships with assigned client groups and team members
  • Able to recognise and handle sensitive and confidential information
  • Self-motivated, confident and capable of working both independently and in a team environment
  • Results oriented and high achiever
  • Reliable, consistent and disciplined
  • High level of integrity
  • Tactful, diplomatic and politely persistent

Key Skills

  • Solid relevant compliance experience in a financial institution
  • Administrative and time management skills to meet various deadlines
  • Strong written and verbal business communication skills

Job Offer

The role on offer is a fixed term maternity cover, looking to compensate the successful individual the equivalent of £60,000-75,000pa basic salary.