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For Companies At a Glance
- Tasks: Lead compliance efforts for IPOs and divestments, ensuring adherence to regulations.
- Company: Join a dynamic alternative asset management firm in London that's on the rise.
- Benefits: Enjoy a competitive salary and the chance to work in a fast-paced environment.
- Why this job: Be at the forefront of compliance in public markets, making a real impact.
- Qualifications: 6+ years in compliance roles with deep knowledge of US securities laws required.
- Other info: Experience with compliance tech like Eflow or Behavox is a plus.
The predicted salary is between 43200 - 72000 ÂŁ per year.
Job Description
THE COMPANY:
Our client is a growing alternative asset management firm based in London. They are looking to hire a Compliance VP, this role will suit someone with experience in Public Markets in the Sell or Buy side.
THE RESPONSIBILITIES:
- Maintain policies, procedures, systems and controls governing IPO and divestment activities.
- Oversight of compliance with beneficial ownership and other trade reporting rules, preparing and submitting filings with international regulators (US, India, HK) as the business crosses disclosure thresholds.
- Implementation of MNPI protocols for IPO and divestment activity, on a pre and post trade basis.
- Perform gatekeeper role for market soundings/wall crossings initiated or received by the ECM team.
- 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.
- Execution of regulatory and reputational due diligence for execution counterparties.
EXPERIENCE REQUIRED:
- 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.
- Deep understanding of US securities trading laws and regulations, including disclosure of ownership under Section 13 and Section 16 of the Securities Exchange Act of 1934 (“Exchange Act”), short swing profits liability rules under Section 16(b) of the Exchange Act, Rule 144 under the Securities Act of 1933, Rule 10(b)-5 of the Exchange Act, and other federal insider trading laws.
- Knowledge of any of: Eflow, Behavox, Enfusion and ACA Compliance technology products would be helpful.
For further information please contact Spencer Evans.
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Compliance VP employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance VP
✨Tip Number 1
Make sure to highlight your experience in public markets, especially if you've worked on the buy or sell side. This is crucial for the Compliance VP role, so be ready to discuss specific examples during your conversations.
✨Tip Number 2
Familiarize yourself with the key regulations mentioned in the job description, such as Section 13 and Section 16 of the Exchange Act. Being able to speak confidently about these laws will set you apart from other candidates.
✨Tip Number 3
If you have experience with compliance technology products like Eflow or Behavox, make sure to mention it. This knowledge can give you an edge, as it shows you're equipped to handle the technical aspects of the role.
✨Tip Number 4
Network with professionals in the compliance field, especially those who have experience in investment banking or hedge funds. They might provide insights or even referrals that could help you land the job.
We think you need these skills to ace Compliance VP
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly understand the responsibilities and requirements of the Compliance VP position. Highlight your relevant experience in public markets and compliance roles in your application.
Tailor Your CV: Customize your CV to emphasize your experience with IPOs, divestment activities, and compliance with trade reporting rules. Include specific examples of your work with international regulators and any relevant technology products you are familiar with.
Craft a Strong Cover Letter: Write a compelling cover letter that connects your background in compliance with the specific needs of the firm. Mention your understanding of US securities trading laws and how your experience aligns with the company's goals.
Proofread Your Application: Before submitting, carefully proofread your application materials for any errors or inconsistencies. A polished application reflects your attention to detail, which is crucial for a compliance role.
How to prepare for a job interview at Compliance Professionals
✨Showcase Your Compliance Expertise
Make sure to highlight your extensive experience in compliance roles, especially within public markets. Be prepared to discuss specific regulations and laws you have worked with, such as the Securities Exchange Act and insider trading laws.
✨Demonstrate Your Analytical Skills
Since the role involves oversight of compliance protocols and trade reporting rules, be ready to provide examples of how you've successfully analyzed complex compliance issues in the past and implemented effective solutions.
✨Familiarize Yourself with Relevant Technologies
Knowledge of compliance technology products like Eflow, Behavox, and Enfusion can set you apart. If you have experience with these tools, be sure to mention it during the interview.
✨Prepare for Scenario-Based Questions
Expect questions that assess your ability to handle real-world compliance scenarios. Think about past experiences where you had to navigate regulatory challenges or manage compliance risks, and be ready to discuss your approach and outcomes.
