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Compliance Advisory Expert

2 months ago

London, Greater London, United Kingdom Investigo Full time

Job Title: AVP Compliance Advisory

About the Role:

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

Key Responsibilities:

  • Provide advisory support across all Private Banking businesses, including Investment Banking, Corporate Finance, Capital Markets, and Structured Solutions.
  • Assist the Head of Private Banking 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 Banking businesses.

Requirements:

  • 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.

Language: English (en-US)