The Control Room is responsible for establishing the control framework for identifying and managing potential conflicts within the business and the control of all aspects of employee compliance such as personal account dealing, regulatory registrations, gifts and entertainment. The flow and recording of sensitive information, in particular private side transactions and Chinese Walls in Watch, Insider and Restricted Lists as well as maintenance and compliance data and reporting thereof to group or other members of compliance and reporting large stakeholders. The control room also acts as an intermediary between different entities of the business and liaises with the UK Regulators as required. The role holder will be responsible for supporting the Head of Control Room in developing and implementing the policies and procedures required to manage and oversee the above.
The role holder will be responsible for: Drafting and/or reviewing policies and procedures in relation to Control Room activities including PA Dealing, Gifts and entertainment, other conflicts and Chinese Walls. Provision of technical and practical advice on control room activities whilst liaising with key clients in socialising control room policies and procedures within wealth globally. Managing accurate records and oversight of the business's submissions to the Groups share aggregation system. Provide advice to HR, Legal and the business in respect of registered employees.
Who we're looking for
Practical experience within the UK regulatory environment is essential as is dealing with regulators and their rules including the application of these rules. Compliance exposure, ideally in a Control Room environment, in relation to identification and management of conflicts is essential. You will ideally be educated to degree level and have a professional qualification that is aligned to this role.
About our client
A Global Financial Services business with offices in Glasgow
What's on offer
A highly lucrative package with attractive benefits.
Michael Page Contact For further info, apply or phone on 0141 331 7910. Job Ref: 13221642 Your application will be sent to Claire Gillespie.
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