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AVP Compliance Advisory

2 months ago

London, United Kingdom Investigo Full time

Associate Vice President (AVP) – Compliance Advisory (12-Month FTC)


While professional experience and qualifications are key for this role, make sure to check you have the preferable soft skills before applying if required.

The Compliance Advisory team is responsible for providing high-quality regulatory guidance to the banking and securities operations across London and the EMEA region. Acting as the crucial link between Compliance and the Front Office, the team ensures robust collaboration on all regulatory issues relevant to the business activities undertaken.

Primary purpose of the role

  • This role offers high visibility, allowing you to cultivate and manage relationships with the private side businesses that the advisory team supports. You will engage with all levels of the organization and serve as the primary contact for key business areas of strategic importance to the Bank.
  • In this position, you will work across the banking and securities divisions under a dual-hat arrangement. This means you will make decisions representing both the bank and the securities business, with equal authority and responsibility, regardless of your employing entity.

Job Responsibilities:

  • Provide advisory support across all Private Side businesses, including Investment and Corporate Banking, Capital Markets, Transaction Banking, and Structured Solutions.
  • Assist the Head of Private Side Advisory and the broader team in all advisory-related matters.
  • Engage in internal and external investigations and inquiries as needed.
  • Participate in and support both local and global projects, driving the operational implementation of key regulatory change initiatives.
  • Deliver training on conduct and regulatory issues to the Private Side businesses.

Skills and Experience

  • Deep understanding of capital markets, structured finance, and other investment banking products, including loans, bonds, and structured finance.
  • Strong knowledge of risk management, compliance, and controls.
  • Thorough understanding of key regulations such as MiFID II, MAR, and Competition Law.
  • Excellent interpersonal and communication skills.
  • Intellectual sharpness with the ability to comprehend complex issues.
  • Capability to challenge independently and constructively to achieve engagement and drive solutions.
  • Ability to operate autonomously when appropriate and recognize when to escalate matters.
  • Highly organized, goal-oriented, and focused on solutions.

Education / Qualifications:

  • A strong academic background, preferably with a university degree in Law and/or Financial Regulation.