Head of Control Room

Recruiter
Eximius Finance
Location
London, United Kingdom
Salary
£90,000-£120,000
Posted
23 Jul 2022
Closes
22 Aug 2022
Ref
14067331
Job Function
Compliance/Regulatory
Industry Sector
Finance - General
Employment Type
Full Time
Education
Bachelors
The individual will be responsible for training new Control Room hires as well as other personnel in other departments. This role is in the London Compliance team, reporting into the Global Head of Advisory Compliance, and is located in the Group's head office in London.

Responsibilities
  • Developing Control Room policies and procedures
  • Delivering training and guidance to Control Room new hires, as well as to other colleagues within the Compliance division
  • Liaising with the Takeover Panel as required
  • Ensuring appropriate review of independent investment research prior to publishing
  • Maintenance of the Watch and Restricted Lists
  • Coordinating and approving wall crossings
  • Advising on matters relating to the publishing of research arising from the US Securities Rules (including analysis of safe harbours for research), Takeover Panel research restrictions, and FCA COBS rules.
  • Advising Research and Wealth Management on matters relating to the Restricted List
  • Chaperoning communications between equity research and banking personnel
  • Leading and participating in compliance projects and initiatives.
  • Liaison with overseas offices on cross-border issues.

Experience and Competencies required

Experience
  • Experience commensurate with a senior role , gained within the Control Room or Investment Banking or Research Compliance departments of an investment bank.
  • Knowledge and understanding in relation to the US Securities Rules and safe harbours applicable to research production, the UK Takeover Code, the Market Abuse Regime and rules and principles relating to the independence of research.

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