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Job Specification

6 TO 12 MTH FTC COMPLIANCE MANAGERS - CONTROL ROOM EXPERIENCE REQUIRED

£450-£550 per day | London
Ref: 3849G2

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Contract

 
 

Our Client, a Global Alternatives Asset Manager, is looking for Interim Control Room managers to be part of the Compliance Control Room function for the EMEA region. The role will be responsible for ensuring regulatory obligations in relation to disclosure of interest are met accurately and on time, in addition to processing and managing conflicts and wall crossing.  Reporting to the Head of Control Room, duties will include 

  • Complete reviews of and make filings related to obligations under the EU / UK Short Selling Regulation, Transparency directive (and other equivalent rules), Takeover Panel requirements and other relevant rules and regulations under Disclosure of Interest reporting. 
  • Perform any detailed reviews of historic activities and present findings & recommended actions. 
  • Process wall crossing requests  
  • Manage and respond to ad hoc restrictions as directed by Advisory compliance 
  • Remove restrictions in a controlled and timely manner 
  • Ensure MiFID II Commodity Position Reporting is being completed accurately and on a timely basis 

The successful candidate must have gained extensive experience of working in a control room with a similar large asset manager or investment bank.  While excellent knowledge of Financial Markets, Financial Services Industry and products/financial instruments is required as important will be your detailed understanding of the regulatory framework for disclosure of interest and position monitoring e.g., EU and UK Short Selling Regulation, Transparency Directive, Takeover Code.  

NB while this role will initially be for 6 months on a Fixed Term Contract basis, it is envisaged that it will roll over for some time to come  

If this sounds like your next career move and would like to know more, please call Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to gary@symescollins.com (including a contact number & email) however please note due to Covid we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).  

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge. 

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