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Head of Compliance Control Room

Date posted: 18 Nov, 2014
Ref: Ref:cr190914
Industry: Compliance
Salary: £90000 - £100000 + Excellent Benefits
Location: Birmingham
Contract Type: Permanent
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Further Information

My client is a Financial Services provider based in Birmingham City Centre. Due to an impending relocation of Compliance from London to Birmingham they are currently looking to recruit a Compliance professional into a niche role within their Control Room.

You will;

  • To lead the Control Room team in supporting the bank
  • Responsible for supervising Control Room activities for staff and providing strategic direction of all aspects of that Control Room
  • Management and mentoring of staff
  • Provision of highly specialized advice and interpretation of legal, regulatory and compliance risk and surveillance requirements
  • Responsible for supervising the maintenance of the Watch and Restricted Lists
  • Assisting with regulatory inquiries and interacting with regulators in relation to investigations
  • Build and maintain relationships with relevant Compliance Advisory, Front office business, and other control function staff
  • Build and maintain relationships with regulatory authorities where required
  • Manage, or assist in, the timely resolution of exchange, regulatory or internal investigations and enquiries
  • Review and analysis of the relevant regulatory notices, rule changes and industry best practices
  • Liaise and advise the businesses to ensure compliance with regulatory developments
  • Review and update relevant policies and procedures
  • Escalation of all material issues to regional/global Compliance Management

This is a particularly specialist role and requires someone who is an expert in all aspects of control room activities. It will suit someone who is looking to relocate to the Midlands having perhaps grown up here or have a partner from the local area. My client will offer a generous and competitive salary to attract the right person to this role.


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