Vice President, Compliance Advisory

4 weeks ago

London, United Kingdom Investigo Full time

Responsibilities:

  1. Equity Derivatives and Structured Products Oversight:
  • Provide expert compliance advice on regulatory matters related to equity derivatives and structured products.
  • Develop, implement, and maintain compliance policies and procedures specific to these financial instruments.
  • Stay abreast of industry trends, regulatory changes, and market developments impacting equity derivatives and structured products.
  1. Regulatory Engagement:
  • Act as the key point of contact for regulatory inquiries and examinations related to equity derivatives and structured products.
  • Collaborate with regulatory authorities to ensure adherence to local and international compliance standards.
  • Represent the bank in industry forums and working groups to influence regulatory developments.
  1. Risk Assessment and Monitoring:
  • Conduct comprehensive risk assessments related to equity derivatives and structured products.
  • Implement robust monitoring programs to identify and mitigate compliance risks.
  • Work closely with other departments to ensure a proactive approach to risk management.
  1. Training and Education:
  • Develop and deliver targeted compliance training programs for staff involved in equity derivatives and structured products.
  • Foster a culture of compliance awareness throughout the organization.
  1. Policy Development:
  • Collaborate with legal and business teams to create and update compliance policies and procedures.
  • Ensure alignment with regulatory requirements and industry best practices.

Qualifications:

  • Direct compliance advisory experience in the financial services industry.
  • In-depth knowledge of equity derivatives and structured products compliance requirements.
  • Strong understanding of relevant regulatory frameworks (e.g., FCA, ESMA).
  • Proven experience in engaging with regulatory authorities and industry forums.
  • Excellent analytical and problem-solving skills.
  • Effective communication and interpersonal skills.
  • Bachelor's degree in finance, law, or a related field; advanced degree preferred.

Please get in touch chris.roots@investigo.co.uk for details

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