Compliance Control Room Specialist
- Recruiter
- Robert Walters Plc
- Location
- Birmingham
- Salary
- 35000.00 - 56000.00 GBP Annual
- Posted
- 21 Mar 2017
- Closes
- 28 Mar 2017
- Sectors
- Banking & Financial Services
- Contract Type
- Permanent
- Hours
- Full Time
An excellent opportunity is available for a Control Room Specialist to join the EMEA control room of a leading financial services organisation based in Birmingham to work to prevent the misuse of unpublished price sensitive information through the administration and monitoring of the bank's Chinese Wall procedures.
About the Compliance Control Room Specialist role:
You will work to detect and manage conflicts of interest between different divisions through administration of the intra-divisional conflict clearing process and the clearing of the bank's research product and ensure compliance with specific securities laws or policy relating to trading.
Key Responsibilities:
* Assisting the Control Room in supporting the Bank in EMEA
* Ensuring daily control room activities related to information barriers, conflict clearing and research pre-clearance
* Providing highly specialised advice and interpretation of legal, regulatory and compliance risk and surveillance requirements
* Supervising the maintenance of the Watch and Restricted lists
The Control Room Specialist will possess a background as a compliance officer with previous control room experience or alternatively an experienced professional with skills that are relevant and transferable to a compliance function. You will have the ability to build strong internal relationships and have excellent communications skills and the ability to adapt to changing priorities.
This is an excellent opportunity in The Midlands region. Please apply now, or for further information please contact Kayte Short at [Email address removed]
About the Compliance Control Room Specialist role:
You will work to detect and manage conflicts of interest between different divisions through administration of the intra-divisional conflict clearing process and the clearing of the bank's research product and ensure compliance with specific securities laws or policy relating to trading.
Key Responsibilities:
* Assisting the Control Room in supporting the Bank in EMEA
* Ensuring daily control room activities related to information barriers, conflict clearing and research pre-clearance
* Providing highly specialised advice and interpretation of legal, regulatory and compliance risk and surveillance requirements
* Supervising the maintenance of the Watch and Restricted lists
The Control Room Specialist will possess a background as a compliance officer with previous control room experience or alternatively an experienced professional with skills that are relevant and transferable to a compliance function. You will have the ability to build strong internal relationships and have excellent communications skills and the ability to adapt to changing priorities.
This is an excellent opportunity in The Midlands region. Please apply now, or for further information please contact Kayte Short at [Email address removed]