The Group Control Room provides valuable support to Line 1 and Line 2 businesses through:

• Advising the business on the management of conflicts of interest
• management of personal conflict registers, Personal Account Dealing, Outside Busienss Interest, Sponsorships and Donations and Gifts and Entertainment
• management of Information Barrier arrangements, including deal trees and wall crossings
• performing conflict checks, deep dive reviews and investigations in a timely manner
• management of the Restricted List and Grey lists for PA Dealing and Research

See yourself in the team

Reporting to the Head of Group Control Room, you will support the line 1 business to identify and manage conflicts of interest, and in particular to provide advice and support around Personal Account Dealing (PAD) and use of the newly established Conflicts Hub system for PAD pre-clearance.

Your day could look like but not limited to:

• Regular Monitoring as part of the Compliance Monitoring Plan
• ‘Deep dive’ investigations into potential PAD breaches
• Reporting and analysis of trends in PAD, employee conduct and business activities
• Training on PAD and related conflicts related topics
• Advice and support on use of the Conflicts Hub System
• Assist Line 1 teams in management of the Conflicts Hub system
• Manage PAD Watch Lists and Restricted Lists
• Focus over time on other areas such as; Outside Business Interests, Gifts and Entertainment and Business Activity Conflicts

What successful candidates will look like?

We work in an outcomes driven environment, where the emphasis is on great team-work to achieve results. You will be required to think outside of the box in order to provide pragmatic solutions to conflicts of interest related problems in a time sensitive environment.

Additional requirements we’re looking for:

• Demonstrated ability to identify and manage conflicts of interest.
• Excellent verbal and written communication skills.
• An inquisitive mind-set
• Financial Services industry experience
• Experience working in a control room or operations environment is desirable
• Experience advising and influencing senior stakeholders on compliance matters