Compliance Manager. Control Room

Core accountabilities of role

· Assist in the general management of Control Room tasks, including supervising the deliverables and acting as an escalation point for more junior members of the team.

· Manage and control the Watch, Grey and Restricted Lists and the identification and resolution of potential conflicts of interest.

· As a subject matter expert, support the relevant business and functions areas in implementing key control room related policies and procedures for the territory.

· Assist in ensuring BNPP meet its regulatory requirements in relation to disclosures to the Takeover Panel, FCA and other regulators.

· Review and approve research reports versus the Grey/Watch and Restricted Lists to ensure potential conflict of interest is cleared.

· Identify solutions for business or compliance issues, including complex and atypical problem solving.

· Manage medium size projects, and contribute to strategic projects, influencing new initiatives and proactively delivering procedure improvements.

· Lead on training of junior staff

· Makes innovative recommendations to drive improvement to the monitoring plan of the key activities of the Control Room.

· Identify opportunities to improve the effectiveness of the Control Room.

· Contribute to committees by representing the UK Compliance function, or CIB Compliance.

· Contribute to the delivery of training.

Knowledge, Skill and Experience

· Professional qualification and prior experience in a Compliance role in control room monitoring or associated activity.

· Excellent knowledge of Compliance principles and processes related to Control Room activities.

· Excellent knowledge of Takeover Panel rules including relevant disclosures under rules 8.1 and 8.5.

· Detailed knowledge of Information Barriers setup and processes.

· Thorough knowledge and understanding of Watch/Grey and Restricted list processes.

· Strong knowledge and experience of Investment Research Clearance.

· Solid working knowledge of the UK regulatory framework and its application to banking.

· Excellent awareness of risk and fundamental risk concepts.

· Excellent analytical skills and an ability to translate knowledge and experience into advice and recommendations.

· Demonstrated ability to identify and solve complex problems, make sound decisions, and manage risks. This includes critical thinking and ability to handle ambiguity.

· Ability to work on ones own with a high level of autonomy.

· Thorough and organised with an ability to prioritise and work under time-pressure and to tight deadlines.

· Excellent written and oral English skills in order to articulate technical issues and effectively communicate with individuals across the business.

· Proven ability to deal with senior, experienced business stakeholders.

· Computer literacy and a good knowledge of common software e.g. Microsoft Office. Experience of relevant specialist Compliance software.