Compliance Control Room Officer
Salary Additional benefits
Location Birmingham
FULL_TIMEConsultant Kayte Short
JobRef 50819293/001
Date posted 21 July 2022
midlands banking-financial-services/compliance 2022-07-21 2022-09-19 financial-services Birmingham West Midlands GB Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.pngAn excellent opportunity is available with a global financial institution in Birmingham City Centre for a Compliance Control Room Officer. You will have a chance progress in your career and receive training. The business also operates an agile working policy.
You would be joining the Europe, Middle East and Africa (EMEA) Control Room team which is part of the Compliance function at the institution. You will be working closely with your peers and reporting to the EMEA Head of Control Room, you will be an integral part of this incredibly important function.
Key Responsibilities
- Maintaining the watch and restricted lists
- Reviewing research products prior to publication
- Providing advice and interpretation of legal, regulatory and compliance risk requirements as they relate to information barriers, watch lists, restricted lists, wall crossings, research clearance and research independence
- Sharing the insights gained through your experience and knowledge with the wider team
- Assisting with regulatory inquiries
The Compliance Control Room Officer will ideally possess prior experience in Control Room activities, particularly regulations and best practices concerning information barriers and research. You may have undertaken these activities within a retail banking environment or other regulated environment. You will also have the ability to be comfortable at networking/relationship building across a wide range of internal departments, Compliance functions, and industry bodies.
This is an excellent opportunity with a company that focuses on empowering employees. The successful Compliance Control Room Officer will be part of a team that is healthy, engaged, and well-supported. For more information on this role or others please contact Kayte Short on: 01212602564 Kayte.short@robertwalters.com
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