Vice President of Compliance Strategy

2 days ago


London, Greater London, United Kingdom Compliance Professionals Full time
About the Role
We are seeking a highly experienced Compliance Vice President to lead our Compliance function. The successful candidate will have a deep understanding of public markets and experience in implementing policies, procedures, and systems. Key responsibilities include oversight of compliance with beneficial ownership and other trade reporting rules, preparing and submitting filings with international regulators (US, India, HK), and implementation of MNPI protocols for IPO and divestment activity.

Key Responsibilities
Maintain policies, procedures, and systems governing IPO and divestment activities. Oversight of surveillance protocols to ensure CSG compliance with applicable conduct of business rules, including but not limited to e-comm surveillance, recorded lines, transaction record keeping, best execution, and proxy voting. Execute regulatory and reputational due diligence for execution counterparties. Provide leadership and direction to the Compliance team to ensure effective compliance risk management.

Qualifications
At least 6 years' experience of operating in in-house Compliance roles with public markets oversight – investment bank trading floor advisory or hedge fund would be most appropriate.

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