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The Control Room sits in the Compliance Office for EMEA, it is primarily responsible for the identification and management of Conflicts of Interests including the management of transactional insider lists relating to inside information and Conflicts of interest.
MAIN PURPOSE OF THE ROLE
This role is ideal for someone looking for a fixed term contract in a core compliance role, to build their understanding of the Bank's businesses and work in an international environment. This is a high visibility level role that will see you build and manage relationships with senior stakeholders within the business on a global scale.
Under this arrangement, you will act and make decisions on behalf of both the bank and the securities business, subject to the same remit and level of authority, and irrespective of the entity which employs you.
To ensure the effective implementation of the Compliance programme, to manage the Compliance Control Room and to provide oversight of the day to day activities of CCR.
To perform the day-to-day core responsibilities of Control Room Compliance including:
Maintaining and monitoring the firm's Chinese walls/ wall crossings/ flow of non-public information;
Undertaking conflict clearance and management
Obtaining deal updates from first line
Pipeline review and management
Review of restrictive clauses with legal documentation
Maintaining the firm's insider lists.
Implementing necessary sales, trading and research restrictions;
To manage a team of 6 CCR members, to review their performance and to assist the Head of CCR in developing succession plans for the future.
Engage with other stakeholders including Policy and Monitoring teams to deliver training, produce M.I and contribute to risk assessments.
Participate in undertaking an effective end to end risk assessment of key processes and information flows relating to key CCR activities.
Provide M.I for internal committees.
Requests and data gathering as it relates to compliance monitoring & testing, global compliance assurance, internal audit, and regional compliance queries.
Participate in the conduct of internal and external enquiries and investigations as necessary
Take responsibility for managing local and global projects and participate & represent the EMEA CCR interests in larger significant projects across the Bank.
Provide SME advice on complex issues relating to conflicts of interest, act as an escalation point for junior advisory and CCR members.
Act as the main contact for area of expertise / specialism fielding the most complex queries from within and outside of Compliance.
5+ relevant control room experience within a FO support role in an investment banking/CIB organization.
Demonstrable working knowledge of Capital Markets (Loans & Bonds), Structured Finance, Leverage Finance, Loan/Bond Syndication and Corporate Banking.
Conflicts management experience essential.
SKILLS AND EXPERIENCE
Functional / Technical Competencies:
Strong understanding and knowledge of banking products & UK regulatory environment
Good conceptual understanding of risk, compliance and controls
Ability to use Microsoft Word and Excel: Essential (Intermediate / Advanced Excel preferred)
Strong literacy skills.
Strong analytical skills.
Education / Qualifications:
Degree Level or equivalent qualifications and experience
Excellent verbal and written communication and presentation skills
Results driven, with a strong sense of accountability
A proactive, motivated approach.
The ability to operate with urgency to tight deadlines and prioritise work accordingly
Strong decision making skills, the ability to demonstrate sound judgement