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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 Compliance 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).
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 or webinars where you can meet people who work in similar roles. This can help you gain insights into the company culture and expectations, making you a more attractive candidate.
✨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 allow you to demonstrate your expertise during discussions and interviews.
✨Tip Number 3
Prepare to discuss specific examples of how you've provided compliance guidance in previous roles. Highlight situations where your advice led to successful outcomes, showcasing your ability to translate complex regulations into practical solutions.
✨Tip Number 4
Familiarise yourself with the company's values and compliance culture. Tailor your conversations to reflect how your experience aligns with their mission, demonstrating that you're not just a fit for the role but also for the organisation as a whole.
We think you need these skills to ace VP Compliance Advisory - Equities (City of London)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in compliance roles, particularly within Global Markets. Emphasise any direct exposure to trading floor operations and your understanding of relevant regulations like MIFID and MAR.
Craft a Compelling Cover Letter: In your cover letter, demonstrate your ability to provide practical compliance guidance. Use specific examples from your past experiences that showcase your problem-solving skills and how you've translated regulations into actionable advice.
Highlight Relevant Skills: Clearly outline your skills related to compliance training initiatives and management reporting. Mention any experience you have in shaping a culture of compliance and how you’ve adapted policies to meet evolving regulatory landscapes.
Showcase Your Knowledge: In your application, reference your comprehensive understanding of UK, EU, and cross-border rules relevant to equities businesses. If applicable, mention your familiarity with Dodd-Frank swaps regulation to strengthen your application.
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 led training initiatives to enhance compliance culture.
✨Stay Agile and Adaptable
Emphasise your ability to adapt to evolving market and regulatory landscapes. Share examples of how you've helped shape policies to remain effective and agile in response to changes in the compliance environment.
