Compliance Manager - Control Room

  • negotiable
  • London, England, United Kingdom London England GB
  • Contract, Full time
  • Alexander Mann Solutions (Contingent)
  • 13 Aug 18 2018-08-13

Hi All, I'm currently recruiting for a Control Room Compliance Manager based in London OR Manchester on a 4 month contract with a reputable banking client! The successful candidate will have Control Room experience as well as experience reviewing Conflicts of Interest and maintaining Watch and Restricted Lists. Please click the link below to view the job description and apply before the closing date on Friday 20th July at 3pm!

Alexander Mann Solutions (AMS) is the world's leading provider of Talent Acquisition and Management Services. We deliver award-winning solutions to over 65 outsourcing clients and consulting services to hundreds more. Our contingent Workforce Solutions (CWS) service acts as an extension of our clients' recruitment team and provides professional interim and temporary resources.

Our client is a well Known Corporate and Institutional banking organisation with headquarters in Central London and several other global locations; Providing Finance and Risk Solutions as well as Trading and Flow Sales to global financial institutions, investors, counterparties and corporate customers on a day to day basis.

On behalf of this organisation, AMS are looking for a Control Room Compliance Manager for a 4 month contract based in London OR Manchester.

Purpose of role:

  • The Global Control Room is a bank wide function.
  • To identify and manage transactional and employee conflicts of interest and establish and monitor the effectiveness of the firm's Information Barriers
  • Maintain the Marketing, Watch and Global Restricted Lists; assess materiality of transactions and determine downstream Monitoring & Surveillance
  • Manage the Wall Crossing process
  • Oversee determination by Business management of conflicts that may impact their business
  • Advise on appropriate policies and procedures to identify and manage conflicts
  • Advise on the creation, maintenance and evolution of Bank wide Confidentiality Registers
  • Keeping the bank and its Customers safe and secure by mitigating the risk of legal or regulatory sanctions, material financial loss and reputational harm.

The Candidate:

  • Ability to influence and conflict resolution skills.
  • Subject mater expert on financial services Conflicts of Interest and Handling Inside Information
  • Ability to understand Investment and Commerical Banking businesses.
  • Problem solving/analytical skills
  • Excellent interpersonal skills - the ability to consistently portray a professional demeanour with internal and external stakeholders
  • Effective communication skills (written and oral) and a proven ability to convey complex concepts in a clear and concise manner, to potentially diverse audiences.
  • Ability to demonstrate decisiveness and sound judgement on a consistent basis.

In order to be successful in this role you will possess all or some of the below criteria:

  1. Control Room experience
  2. Managing Watch and Restricted Lists
  3. Providing Conflict Clearance

If you are interested in applying for this position and meet the criteria outlined above, please click the link to apply and speak to Kareen Thompson on 028 20 448444 or send your CV to

Alexander Mann Solutions, a Recruitment Process Outsourcing Company, may in the delivery of some of its services be deemed to operate as an Employment Agency or an Employment Business