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For Companies At a Glance
- Tasks: Provide real-time compliance guidance on Equities transactions and lead training initiatives.
- Company: Join a leading investment banking client in the heart of London.
- Benefits: Enjoy a dynamic work environment with opportunities for professional growth.
- Why this job: Be part of a culture that values compliance and adaptability in a fast-paced market.
- Qualifications: Experience in a Compliance role within Global Markets and knowledge of relevant regulations required.
- Other info: Ideal for those who thrive in collaborative, high-energy settings.
The predicted salary is between 72000 - 108000 £ per year.
We are on the lookout for a Vice President, Equities Compliance Advisory to join one of our investment banking clients.
What You’ll Be Doing
- Providing practical, real-time compliance guidance on Equities transactions to the front office.
- Acting as a key stakeholder for relevant regulations such as MIFID, MAR, Short Selling, and PRIIPs.
- Leading targeted training initiatives and delivering impactful management reporting.
- Helping 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.
What We’re Looking For
- Demonstrated experience in a business-facing Compliance role within a Global Markets environment with direct exposure to trading floor operations.
- Comprehensive understanding of UK, EU, cross-border rules and regulations relevant to equities businesses including trading venue requirements.
- Familiarity with Dodd-Frank swaps regulation (desirable).
VP Compliance Advisory - Equities (City of London) employer: FincSelect
Contact Detail:
FincSelect Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land VP Compliance Advisory - Equities (City of London)
✨Tip Number 1
Network with professionals in the compliance and equities sectors. Attend industry events, webinars, or conferences where you can meet people who work in similar roles. This can help you gain insights into the company culture and potentially get a referral.
✨Tip Number 2
Stay updated on the latest regulations affecting the equities market, such as MIFID and MAR. Being knowledgeable about current compliance challenges will not only prepare you for interviews but also demonstrate your commitment to the role.
✨Tip Number 3
Prepare to discuss real-life scenarios where you've provided compliance guidance in fast-paced environments. Use specific examples that highlight your problem-solving skills and ability to translate complex regulations into actionable advice.
✨Tip Number 4
Familiarise yourself with the company's values and compliance culture. Tailor your conversations during interviews to reflect how your experience aligns with their mission and how you can contribute to shaping a robust culture of compliance.
We think you need these skills to ace VP Compliance Advisory - Equities (City of London)
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a VP Compliance Advisory in Equities. Familiarise yourself with key regulations like MIFID, MAR, and PRIIPs, as well as the specific requirements mentioned in the job description.
Tailor Your CV: Highlight your relevant experience in compliance roles, especially within Global Markets. Emphasise any direct exposure to trading floor operations and your understanding of UK and EU regulations. Use specific examples to demonstrate your expertise.
Craft a Compelling Cover Letter: In your cover letter, express your passion for compliance and your ability to provide real-time guidance on Equities transactions. Mention your collaborative problem-solving skills and how you can contribute to shaping a robust culture of compliance.
Proofread and Edit: Before submitting your application, carefully proofread your CV and cover letter. Check for any grammatical errors or typos, and ensure that your documents are clear and concise. A polished application reflects your attention to detail.
How to prepare for a job interview at FincSelect
✨Know Your Regulations
Make sure you have a solid understanding of key regulations like MIFID, MAR, and PRIIPs. Be prepared to discuss how these regulations impact Equities transactions and how you can provide practical compliance guidance.
✨Showcase Your Experience
Highlight your previous experience in a business-facing Compliance role, especially within Global Markets. Be ready to share specific examples of how you've navigated compliance challenges on the trading floor.
✨Demonstrate Collaborative Problem-Solving
Since the role requires collaborative problem-solving, think of instances where you've worked with teams to address compliance issues. Discuss how you facilitated discussions and drove solutions that benefited the business.
✨Emphasise Training Initiatives
Prepare to talk about any training initiatives you've led or participated in. Highlight how you’ve delivered impactful management reporting and contributed to fostering a culture of compliance within your previous organisations.
