Position Overview:

We are seeking a highly experienced and strategic Director to lead the London Control

Room within Compliance at the firm. This role is critical in managing and mitigating

conflicts of interest across the Investment Bank. The ideal

candidate will bring over 10 years of specialized experience working in a control room, with

experience in clearing and managing conflicts across the Corporate and Investment Bank,

covering traditional Control Room responsibilities, reviewing U.S.Research,

reviewing employee trading, and leading project work.

Key Responsibilities:

 Lead the identification, assessment, and resolution of potential and actual conflicts of

interest across investment banking, capital markets, commercial banking, and mergers

and acquisitions.

 Review US equity research and ensure compliance with the US research rules

 Oversee the design, implementation, and continuous improvement of conflict

management frameworks, policies, and procedures.

 Drive the development and enhancement of conflict management systems and tools,

ensuring alignment with regulatory expectations and business needs.

 Clear conflicts for the corporate and investment bank, ensuring compliance with

internal policies and regulatory requirements.

 Review employee trading activities to identify and mitigate potential conflicts of

interest.

 Lead and manage cross-functional change projects, including global policy rollouts,

system migrations, and process reengineering.

 Serve as a senior advisor to business and compliance stakeholders on complex conflict

scenarios.

 Monitor regulatory developments and industry best practices to ensure the firm’s

conflict management program remains best-in-class.

 Mentor and guide junior team members, fostering a culture of compliance and

continuous improvement.