Job Title:	Control Room Analyst
Reference:	210362
Salary:	£18 - £25 per hour
Location(s):	City of London
Industry(s):	Banking
Advertiser:	Joslin Rowe
Employment Type:	Temporary
Posted:	02-07-2009

Description:

My client, a Global Investment Bank are looking to expand their Compliance department and hire a Compliance Officer within their Control Room. As an experienced member of the Control Room team you will have responsibility for handling investment research clearance, maintaining the Firm's Watch and Restricted lists, and tracking Chinese wall crossings.
As a Compliance Officer, your main responsibilities and duties will be
-Clearance of the firm's research publications to identify and prevent potential conflicts of interest.
-Liaise, as necessary, with Research management and supervisory analysts, and Control Room teams in Asia and the US.
-Provide advice to front office businesses in respect of permissible interaction with research analysts.
-Participate in the development of the Firm's policies in respect of Research, Chinese Walls and Watch & Restricted List, providing guidance to the business in relation to these policies.
-Implement necessary trading and research restrictions in line with Firm policies, advising the front office employees of the impact of any restrictions.
-Providing ongoing advice and guidance to the business in respect of Chinese Wall, insider dealing and market abuse issues.
-Working with Senior Compliance and Legal personnel to advise on Chinese Wall implications for new business initiatives/structural changes as well as implementing bespoke procedures for specific circumstances so as to manage conflicts of interest.
-Participate in the conduct of internal and external enquiries and investigations as necessary.
-As a member of the Control Room team assist in the ongoing development of the control room including policy developments and IT systems to support the function.

Ideally the role of Compliance Officer, you have some proven working knowledge within Legal, Compliance or
Control Room preferably within an Investment Banking, an equity capital markets environment or at an
exchange/regulator.
You will be a methodical person with attention to detail, together with strong administrative skills and an analytical
approach to problem solving.

Ideally you will have the ability to identify real issues and know when to escalate them. As the emphasis will be
Control room, there will be a need for good working knowledge of regulatory environment for Control Room
functions.

The role of Compliance Officer will suit someone that has excellent interpersonal skills, with a strong personality, is
confident, highly motivated and organised but able to operate under their own initiative.
If you are interested in applying for the role of Compliance Officer, please apply in writing via the website.



Joslin Rowe - Winner of 4 UK Recruiter Awards including Best Accountancy/Financial Recruitment Firm and Best Office Support Agency.
Joslin Rowe is a Randstad company. Joslin Rowe Temporaries Ltd encourages applications from individuals from all backgrounds but candidates must be able to demonstrate their ability to work in the UK. Joslin Rowe Temporaries Ltd is acting as an Employment Agency in relation to this vacancy.