Control Room Manager

Company: Aston carter
Location: London, UK
Industry: Banking, Aston carter, Banking and Financial Services, Compliance-Legal
Rate: 60000.0 - 70000.0 GBP Salary
Job Type: Permanent
ID: JP-002380405
Posted: 08 Oct 2021

Job Description:


Contributes to the overall success of the Compliance Control Room in London ensuring specific individual goals, plans, initiatives are executed / delivered in support of the team’s business strategies and objectives. Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.

Compliance programs

The incumbent will be responsible for administering the following compliance programs managed by the Compliance Control Room:

    • List maintenance (for example, watch, restricted, rating change, ownership limits, NI 81-102),
    • Wall crossing
    • Conflict management
    • Research (including acting as a chaperone of communications between CIB and Research, draft research publication review, and equity and fixed income disclosures),
    • Regulatory requests, 
    • Insider trade reporting (Bank), and securities aggregation (including proprietary trade pre-clearance).

    Regulatory requests

    The incumbent is responsible for assisting in preparing responses to inquiries from regulatory bodies as they relate to Control Room functions.

    Policy development

    The incumbent assists the Senior Manager in the development of internal policies and procedures to enhance the effectiveness of program delivery and reflect changes in regulatory requirements. The incumbent is expected to assist in maintaining Control Room operational procedures.

    Center of excellence

    The incumbent acts as a subject matter expect and fields questions on issues of interpretation with respect to the policies administered by the Control Room. In this role, the incumbent may be asked to assist in the determination of materiality, to determine whether a research or trading restriction should be imposed. This role requires the incumbent to make decisions or escalate issues within the strategic framework set by the Director. To keep abreast of industry issues and practices in institutional areas, the incumbent will maintain strong contacts within the industry.


    Identify opportunities to use technology to enhance Control Room program delivery. Collaborate with managers, business analysts, and developers both internally and externally to drive the delivery of Control Room technology projects on time and within budget.

    If needed, contribute to the delivery and successful implementation of new technology by facilitating and performing end user testing, data validation and normalization, end user procedures, aides and training materials and consideration of all key aspects of the project.

    If needed, provide ongoing updates, support, and product training to the members of the Control Room throughout the various stages of product testing and implementation. Develop communication and participate in training for the roll out of new technology systems to the business users.

Job Title: Control Room Manager

Location: London, UK

Rate/Salary: 60000.00 - 70000.00 GBP Yearly

Job Type: Permanent

Trading as Aston Carter. Allegis Group Limited, Maxis 2, Western Road, Bracknell, RG12 1RT, United Kingdom. No. 2876353. Allegis Group Limited operates as an Employment Business and Employment Agency as set out in the Conduct of Employment Agencies and Employment Businesses Regulations 2003. Aston Carter is a company within the Allegis Group network of companies (collectively referred to as "Allegis Group"). Aerotek, Aston Carter, EASi, Talentis Solutions, TEKsystems, Stamford Consultants and The Stamford Group are Allegis Group brands. If you apply, your personal data will be processed as described in the Allegis Group Online Privacy Notice available at

To access our Online Privacy Notice, which explains what information we may collect, use, share, and store about you, and describes your rights and choices about this, please go to

We are part of a global network of companies and as a result, the personal data you provide will be shared within Allegis Group and transferred and processed outside the UK, Switzerland and European Economic Area subject to the protections described in the Allegis Group Online Privacy Notice. We store personal data in the UK, EEA, Switzerland and the USA. If you would like to exercise your privacy rights, please visit the "Contacting Us" section of our Online Privacy Notice at for details on how to contact us. To protect your privacy and security, we may take steps to verify your identity, such as a password and user ID if there is an account associated with your request, or identifying information such as your address or date of birth, before proceeding with your request. If you are resident in the UK, EEA or Switzerland, we will process any access request you make in accordance with our commitments under the UK Data Protection Act, EU-U.S. Privacy Shield or the Swiss-U.S. Privacy Shield.

Required Skills:

Control ROom,compliance,Regulations

About Aston Carter:

Aston Carter has grown to become a preeminent global provider of top talent to businesses requiring highly specialised professionals focusing on Accounting & Finance, Change & Transformation, Compliance, Management Consulting, Operations and Risk & Regulation. Aston Carter’s global reach extends to 16 countries across Europe, Asia and North America – each with a firm focus on the core values that made Aston Carter the company it is today: Commitment, Character & Trust, Relationships, and A Passion for Excellence.

Contact Information:

Brandon Radford

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