Senior Vice President of Compliance

6 days ago

London, Greater London, United Kingdom The Stephen James Partnership Full time
About the Role

We are seeking a highly experienced and skilled professional to join our team as a Senior Vice President of Compliance. This is a unique opportunity to work with a leading asset manager and be part of a global compliance team.

Key Responsibilities
  • Evaluate potential transactions to determine names for the firm's restricted or control lists.
  • Serve as the lead point of contact for conflicts clearance in the EMEA/APAC regions.
  • Support the legal, compliance groups, and deal teams to manage the control lists.
  • Identify and escalate potential transactional conflicts.
  • Recommend or provide solutions for conflicts of interest.
  • Manage wall-crossing requests and review trade pre-clearances.
  • Assist with personal trading pre-clearances as needed.
  • Draft and coordinate firm-wide responses to regulatory examinations.
Requirements
  • 10+ years of experience working in a major financial services institution, including experience with control room, conflicts management group, or relevant legal and compliance expertise.
  • Experience responding to regulatory examinations and inquiries.
  • Experience of working in a by-side institution is desirable but not essential.
  • Strong analytical and issue-spotting skills.
  • Excellent communication skills, demonstrate initiative, creativity, and drive.
  • Ability to work independently and as part of a team.
What We Offer
  • Highly competitive six-figure salary.
  • Flexible working (4 days in the office, one day from home).
  • Generous bonus structure.

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