Compliance Advisory VP

3 weeks ago

London, United Kingdom Investigo Full time

Compliance Advisory VP - Private Side

Hybrid, London, United Kingdom

We are seeking an experienced Compliance Advisory VP to join a leading Investment Bank as part of their Private Side Compliance team. In this role, you will provide expert guidance and support to the private side businesses, ensuring compliance with relevant regulations and internal policies. You will work closely with various stakeholders across the organisation to assess and mitigate compliance risks while facilitating business growth and innovation.

Key Responsibilities:

  • Provide timely and accurate compliance advice to the private side of the business
  • Interpret and communicate regulatory requirements and industry standards to business units, ensuring adherence to applicable laws and regulations.
  • Collaborate with business stakeholders to develop and implement compliance controls, policies, and procedures tailored to the unique needs of the private side.
  • Conduct risk assessments and compliance reviews to identify areas of improvement and mitigate potential compliance risks.
  • Stay abreast of regulatory developments and industry trends impacting the private side of the business, advising on the implications and necessary actions.
  • Assist in the development and delivery of compliance training programs for employees within the private side business units.
  • Serve as a subject matter expert on compliance matters, providing guidance and support to internal stakeholders and external partners as needed.

Qualifications:

  • Bachelor's degree in finance, law, business, or a related field..
  • Proven experience working in compliance within the financial services industry, with a focus on the private side of investment banking.
  • Strong understanding of relevant regulations, including MiFID II, MAR, EMIR, and other applicable directives and regulations.
  • Excellent communication and interpersonal skills, with the ability to effectively engage and collaborate with stakeholders at all levels of the organisation.
  • Analytical mindset with the ability to assess complex regulatory requirements and develop practical solutions.
  • Proactive approach to problem-solving and a demonstrated ability to work independently and as part of a team in a fast-paced environment.
  • High level of integrity and ethical standards, with a commitment to upholding the highest levels of compliance and professionalism.

For details please get in touch chris.roots@investigo.co.uk

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