Compliance Advisory VP - Equities

City of London Permanent
  • VP level role with growing international banking firm
  • Based in City of London

About Our Client

My client is a Banking and Capital Markets firm with their EMEA headquarters based in the City of London.

Job Description

The Compliance Advisory VP will:

  • Act in role of trusted advisor for Compliance matters across the relevant product within Equities;
  • Be a key member of the European teams to progress and communicate Capital Markets Conduct Risk Agenda;
  • Train all staff on required Compliance and Conduct materials, including the development of these relevant materials;
  • Develop, update and provide Compliance input to relevant Compliance Policies, Departmental Procedures and internal Compliance Department processes to reflect applicable rules in the UK and Europe.
  • Prepare responses to internal and external regulatory exams/audits;
  • Liaise with the business on relevant Compliance topics including Conflicts of Interest and information handling;
  • Review, investigate and assess suspicious transactions reports;
  • Review and approve marketing materials and client presentations;
  • Monitor UK, European and global regulatory developments, identifying new regulations that impact the business and recommend appropriate action to implement as necessary.

The Successful Applicant

The Compliance Advisory VP will have the following experience:

  • Detailed experience of providing Compliance coverage/advice to public side businesses with working knowledge of regulation and compliance Equities and Fixed Income Products.
  • English and German speaker
  • Financial Services laws and regulations in UK and Europe
  • Financial markets and banking activities
  • Conduct Risk areas

What's on Offer

Basic salary between £75,000-95,000pa.

Financial Services benefits package.

Camilla Hadland
Quote job ref
Phone number
+44 207 645 1417

Job summary

Contract type
Consultant name
Camilla Hadland
Consultant phone
+44 207 645 1417
Job reference