FincSelect
Director - Control Room Compliance
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About the Role
We are seeking an experienced Control Room Head to lead and evolve our regional Control Room function within a global investment banking environment. This is a senior leadership opportunity for a compliance professional with deep expertise in market abuse regulation, conflicts of interest, and Control Room operations.
In this highly visible role, you will shape the strategic direction of the EMEA Control Room framework, partnering with senior stakeholders across Banking, Markets, and Compliance to ensure robust governance and regulatory compliance. You will also lead a team while helping develop global standards and best practices.
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- Lead the EMEA Control Room function and oversee the regional framework for:
- Conflicts of Interest
- Watch Lists and Insider Lists
- Material Non-Public Information (MNPI)
- Wall Crossings
- Restricted Lists
- Act as the primary compliance adviser on Control Room matters across multiple business lines.
- Develop and enhance Control Room policies, procedures, and governance frameworks.
- Provide practical regulatory advice and challenge to senior business stakeholders on market conduct and compliance risks.
- Partner with international colleagues to help shape global Control Room standards.
- Deliver training to front-office teams on regulatory obligations and conduct risks.
- Lead, coach, and develop a team of compliance professionals while ensuring effective day-to-day operations.
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We're looking for:
- 10+ years' experience in a Control Room, Conflicts Office, Banking Compliance, or Private Side Compliance Advisory function.
- Strong knowledge of capital markets and investment banking products, including loans, bonds, structured finance, and sales & trading.
- Deep understanding of Market Abuse Regulation (MAR) and MiFID II.
- Experience drafting policies, providing regulatory advice, and delivering compliance training.
- Proven leadership or people management experience.
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