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VP Compliance Governance, Controls and Frameworks

3 months ago

London, United Kingdom Jacobson Garner Full time

Join a leading global investment bank based in the heart of London, recognized for its robust and innovative financial solutions. Our institution prides itself on a commitment to excellence, maintaining the highest standards of regulatory compliance and governance. We are seeking a highly skilled and experienced Vice President of Compliance Governance and Controls to join our dynamic team.


Role Overview:


As the Vice President of Compliance Governance and Controls, you will play a crucial role in designing, implementing, and maintaining a comprehensive compliance framework. This framework will ensure the bank adheres to all applicable regulations and internal policies. Your expertise will be essential in guiding the bank through the evolving regulatory landscape, ensuring that governance structures and control mechanisms are robust, efficient, and forward-looking.


Key Responsibilities:

  • Design and Implementation: Lead the development and continuous improvement of the bank's compliance governance framework, ensuring it aligns with industry best practices and regulatory requirements. Develop and implement controls to monitor compliance risks across various business lines.
  • Regulatory Compliance Frameworks: Oversee the creation and refinement of regulatory compliance frameworks that address both current and future regulatory challenges. Ensure that these frameworks are effectively integrated into the bank's operational processes.
  • Governance Structure: Establish and maintain a governance structure that ensures effective oversight and accountability for compliance risks. This includes defining clear roles and responsibilities across the organization.
  • Risk Assessment: Conduct comprehensive compliance risk assessments, identifying potential risks and implementing appropriate mitigation strategies. Regularly review and update risk management protocols to reflect changes in the regulatory environment.
  • Stakeholder Engagement: Collaborate with senior management, legal teams, and other key stakeholders to ensure that compliance policies and procedures are consistently applied across the organization. Provide expert advice on regulatory matters and emerging risks.
  • Monitoring and Reporting: Implement robust monitoring and reporting mechanisms to track the effectiveness of the compliance governance framework. Prepare regular reports for the Board of Directors and other senior management on compliance risks and mitigation efforts.
  • Regulatory Liaison: Act as the primary point of contact with regulatory bodies, ensuring that all regulatory submissions are accurate and timely. Manage relationships with regulators, responding to inquiries and coordinating regulatory audits.


Qualifications and Experience:

  • Proven experience (typically 7-10 years) in a senior compliance role within an investment bank, with a strong focus on governance and controls.
  • In-depth knowledge of UK and EU regulatory frameworks, including MiFID II, SMCR, and GDPR.
  • Demonstrated experience in designing and implementing regulatory compliance frameworks.
  • Strong leadership and communication skills, with the ability to influence at all levels of the organization.
  • Excellent analytical skills, with a proactive approach to identifying and mitigating compliance risks.
  • A professional qualification in compliance, law, or finance (e.g., ICA Diploma in Governance, Risk, and Compliance, CFA, or equivalent) is highly desirable.


For more information please reach out with your contact details and your CV.