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Compliance Associate - Control Room - Bank - Birmingham

Salary Competitive
Type Permanent
Location Birmingham
Sectors Compliance
UK & Regional
Credit & Risk Management
Job Reference UK2E/PXS/31204
Contact Priya Sirpal
Date posted 27-03-2019

BRUIN Financial are working with a global financial services client in Birmingham to find a Control Room Associate to join the Regulation, Compliance and Anti-Financial

Key Responsibilities:
• Assisting the Control Room team in supporting the Bank in EMEA and Germany
• Taking responsibility for daily Control Room activities related to research pre-clearance, information barriers and conflict clearing
• Providing highly specialised advice and interpretation of legal, regulatory and compliance risk and surveillance requirements as they relate to information barriers, watch lists, restricted lists, wall crossings, conflicts of interest, trading, research clearance and vetting requests and related issues
• Taking responsibility for the maintenance of the Watch and Restricted Lists
• Assisting with regulatory inquiries and interacting with regulators in relation to investigations related to information barriers/insider trading, as well as assisting in the maintenance of internal policies and procedures
• Building and maintaining relationships with relevant Compliance Advisory, Front Office Business and other control function staff.

Skills & Qualifications:
• The ability and drive to network/relationship build across a wide range of internal departments, compliance functions, and industry bodies
• Excellent communication skills, both written and verbal id beneficial, along with strong influencing, problem solving, organisational, and stakeholder management skills
• An academic background is ideal; Legal, Financial or Economical Degree’s
• Local candidate to Birmingham for a permanent role.
• Control Room experience is not essential, however, Compliance experience will be advantageous

In return, my client is offering an exceptional starting salary, industry leading benefits and the potential of flexible working for the right candidate.

Please contact Priya Sirpal on 0161 204 3440 or

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Contact Priya about this job

AVP, Consultant