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- Tasks: Provide real-time compliance guidance and lead training initiatives for Equities transactions.
- Company: Join a leading investment banking firm focused on innovation and compliance.
- Benefits: Enjoy competitive pay, professional development opportunities, and a dynamic work environment.
- Why this job: Be at the forefront of compliance in a fast-paced market, shaping company culture and policies.
- Qualifications: Experience in a business-facing Compliance role within Global Markets is essential.
- Other info: This role offers a chance to influence compliance strategies directly on the trading floor.
The predicted salary is between 57600 - 84000 £ per year.
We are on the lookout for a Vice President, Equities Compliance Advisory to join one of our investment banking clients.
- Providing practical, real-time compliance guidance on Equities transactions to the front office.
- Lead targeted training initiatives and deliver impactful management reporting.
- Help shape a robust culture of compliance across the business.
- You will play a key role in ensuring our policies stay agile and effective in the face of evolving market and regulatory landscapes.
- Demonstrated experience in a business-facing Compliance role within a Global Markets environment with direct exposure to trading floor operations.
Regulatory Policy VP employer: FincSelect
Contact Detail:
FincSelect Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Regulatory Policy VP
✨Tip Number 1
Network with professionals in the investment banking and compliance sectors. Attend industry events or webinars to connect with individuals who can provide insights into the role and potentially refer you to opportunities.
✨Tip Number 2
Stay updated on the latest regulatory changes and trends in the equities market. This knowledge will not only help you in interviews but also demonstrate your commitment to the role and the industry.
✨Tip Number 3
Prepare to discuss specific examples from your past experience that showcase your ability to provide compliance guidance and lead training initiatives. Tailoring your stories to highlight relevant skills will make you stand out.
✨Tip Number 4
Research the company’s culture and values, especially regarding compliance. Understanding their approach will allow you to align your responses during discussions and show how you can contribute to shaping a robust compliance culture.
We think you need these skills to ace Regulatory Policy VP
Some tips for your application 🫡
Understand the Role: Take time to thoroughly understand the responsibilities of the Vice President, Equities Compliance Advisory position. Familiarise yourself with compliance guidance in Equities transactions and the importance of a robust compliance culture.
Tailor Your CV: Highlight your relevant experience in compliance roles, particularly within Global Markets. Emphasise any direct exposure to trading floor operations and your ability to provide real-time compliance guidance.
Craft a Compelling Cover Letter: Write a cover letter that showcases your understanding of the evolving market and regulatory landscapes. Discuss how your experience aligns with the company's needs and your vision for fostering a strong compliance culture.
Proofread and Edit: Before submitting your application, carefully proofread your CV and cover letter. Ensure there are no grammatical errors or typos, as attention to detail is crucial in compliance roles.
How to prepare for a job interview at FincSelect
✨Understand the Regulatory Landscape
Familiarise yourself with the current regulatory environment affecting equities transactions. Be prepared to discuss recent changes and how they impact compliance practices, demonstrating your proactive approach to staying informed.
✨Showcase Your Compliance Experience
Highlight your previous roles in compliance, especially within a Global Markets context. Use specific examples to illustrate how you've provided guidance on transactions and contributed to a culture of compliance.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-time compliance situations. Think of scenarios where you had to make quick decisions or provide advice under pressure, and be ready to explain your thought process.
✨Emphasise Training and Communication Skills
Since the role involves leading training initiatives, be prepared to discuss your experience in developing and delivering training programmes. Highlight your ability to communicate complex compliance concepts clearly to diverse audiences.
