Control Room AVP

  • Job Reference: 13488
  • Date Posted: 20 December 2022
  • Recruiter: Carr Lyons
  • Location: London
  • Salary: On Application
  • Sector: Compliance
  • Job Type: Permanent
  • Work Hours: Full Time
  • Contact: Fin Carr
  • Email: fin.carr@carrlyons.com

Job Description

Carr-Lyons are currently working alongside a leading global investment bank to recruit a Control Room Assistant Vice President. This is a key role, working alongside the Central Compliance Team overseeing all Control Room activities.

The Control Room AVP will be responsible for:

  • The setting of policies, including but not limited to; the processing of MI with respect to market abuse, conflicts of interest, conduct risk, financial promotions, Takeover panel disclosure requirements, 15A-6 obligations and other relevant regulations.
  • Regular communication with Front Office departments and other control functions across the EMEA region.
  • Spending most of their time in the Control Room function, supporting activities including but not limited to: inside information registrations, conflict of interest checks, marketing material reviews, personal account dealing reviews, external business interests and liaising with offices both in Asia and North America.
  • Providing support to the Advisory Team on ad hoc projects.
  • Address requests received by, and actively participate in the day to day operations of, the Control Room. Including, using the Global Control Room System ensuring appropriate responses to enquiries.
  • To engage with stakeholders by attending Front Office team meetings
  • To identify potential improvements in compliance systems, reports and process
  • To introduce  more effective MI analysis, production and presentation

Please note that applicants for this position should have two or more years Control Room experience.