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This role will provide maternity cover for the Control Room Manager who is primarily responsible for managing the execution and operation of established Control Room desk procedures. These procedures ensure the identification and management of conflicts of interests related to business transactions (particularly the Private Side business areas) and staff interests. At the same time Managers are responsible for enforcing the Bank's conflicts of interest related policies and procedures. Managers will interact daily with the Business and supporting functions and will provide real-time advice on conflicts of interest related matters.
Key Responsibilities / Accountabilities
Taking ownership for a number of activities including;
Managing the daily operational activities of the Control Room in line with documented procedures these include but are not limited to: conflicts clearances (transactional & staff related); wall-crossings; deal entry; maintenance of insider lists; maintenance of watch, grey and restricted lists; research disclosures.
Performing supervisory control checks to ensure quality assurance of Control Room work and verify adherence to desk procedures. Performing control tests to ensure Staff adherence to conflicts related policy requirements (e.g. Personal Account Trading, Outside Business Interests) Drafting and ongoing maintenance of Control Room desk procedures to ensure alignment to current processes. Drafting and ongoing maintenance of conflicts of interest related policies and procedures that are owned by the Control Room. Providing ongoing advice and training to Staff on Control Room related topics. Managing the reporting and publication of third party research disclosures. Reporting Control Room related management information and key risk metrics. Contribution to Conflicts of interest risk assessments. Managing/maintaining the conflicts of interest register and associated reporting. Managing and maintaining the permanent insider list. Working with Compliance IT to develop and enhance Control Room related systems. Representing the Bank at various conferences and industry associations. Training and managing Control Room staff (as and when applicable). Assistance with internal/external Audit enquiries and/or regulatory requests. Preferred Qualifications and Experience
Degree qualified Extensive experience in a Control Room or Investment Banking Compliance Advisory role. Hands on experience on providing Compliance advice to a Private Side business.
Knowledge, technical skills and expertise:
Strong understanding of the risks associated with conflicts of interest. Strong understanding of control frameworks required to effectively identify and manage conflicts of interest. In-depth knowledge of FCA Principles and Conduct of Business rules. Knowledge of Market Abuse/Insider Dealing laws and regulations. In depth understanding of Investment Banking and Capital Markets products and services. Knowledge of regulatory disclosure requirements pertaining to conflicts of interest. Ability to communicate effectively with the Business and senior management across various departments. Good drafting skills. Good presentational skills.
Internal Number: 5765371
About Goodman Masson
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