Manager - Control Room
Join the Control Room function of a global investment institution and where you'll be responsible for managing the flow of sensitive information, maintaining regulatory compliance, and supporting the enforcement of information barrier policies. The position requires close coordination with investment, legal, and compliance teams to mitigate risks related to market abuse, conflicts of interest, and insider trading.
Key Responsibilities
- Monitor and manage the flow of material non-public information (MNPI) across investment teams.
- Maintain and update restricted and watch lists, ensuring accuracy and timeliness.
- Conduct conflict checks and escalate potential issues appropriately.
- Support the development and enforcement of information barrier policies and procedures.
- Liaise with internal stakeholders to ensure alignment on regulatory obligations.
- Conduct surveillance and reporting on trading activities to detect and prevent market abuse.
- Oversee Personal Account Dealing (PAD) compliance, including pre-clearance and monitoring.
- Assist in regulatory inquiries and audits related to control room functions.
- Provide training and guidance to staff on control room policies and best practices.
Key Requirements
- Bachelor's degree in Finance, Law, Economics, or a related field; advanced degree preferred.
- Minimum 8 years of experience in a financial institution, ideally within a control room, compliance, or regulatory function.
- Strong understanding of global financial regulations (e.g., FCA, SEC, ESMA).
- Experience with managing MNPI, insider lists, PAD, and conflict checks.
- Excellent communication and stakeholder management skills.
- High level of integrity, discretion, and attention to detail.
- Ability to work in a multicultural and fast-paced environment.
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