At a Glance
- Tasks: Provide regulatory advice and enhance compliance frameworks for US capital markets.
- Company: Join a top-tier global banking group with a strong reputation.
- Benefits: Competitive salary, career growth, and exposure to senior governance.
- Other info: Dynamic environment with opportunities for professional development.
- Why this job: Make a real impact in a highly visible role across various teams.
- Qualifications: 3+ years in investment banking compliance with strong regulatory knowledge.
The predicted salary is between 60000 - 80000 £ per year.
Gresham Hunt have partnered with a Top Tier Global Banking Group who are seeking an ambitious compliance professional to assist in enhancing its EMEA framework for US regulatory compliance obligations relating to capital markets and swap dealer activities. This is a highly visible role with broad exposure across front office, legal, compliance, risk, operations and senior governance committees. The successful candidate will play an important role in the US markets regulation, supporting both banking and securities activities across the region while driving operational efficiency, regulatory oversight and governance enhancement.
Key Responsibilities:
- Provide proactive regulatory advice and guidance to trading, sales, structuring and banking teams on applicable US regulatory requirements.
- Support the ongoing enhancement of the firm’s US regulatory compliance framework, policies and governance structures.
- Monitor regulatory developments and assess impacts to business activities, controls and operational processes.
- Partner with Legal, Risk, Operations and Regulatory Change teams to coordinate implementation of regulatory change initiatives.
- Assist in day-to-day management of US regulatory compliance activities and related operational processes.
- Assist with the design and implementation of scalable workflows and control frameworks supporting regulatory obligations.
- Support governance committees and senior management forums through reporting, escalation and regulatory insight.
- Coordinate annual compliance assessments, certifications and regulatory reporting obligations.
- Participate in internal reviews, regulatory examinations and external audits where required.
- Monitor adherence to compliance policies, procedures and regulatory obligations across impacted business lines.
- Conduct thematic reviews, control assessments and lookback exercises relating to US regulatory requirements.
- Support development of monitoring and surveillance frameworks relating to trading and conduct risks.
- Identify compliance risks and recommend practical remediation solutions.
Experience Required:
- Minimum 3 years’ experience within investment banking compliance, legal or regulatory advisory functions.
- Good understanding and knowledge of Market Compliance and other investment banking products, including but not limited to OTC Derivatives.
- Knowledge of MAR and MiFID II, and US regulatory compliance.
- Good understanding of investment banking and markets products including fixed income, structured products, derivatives and financing solutions.
- Good understanding of European regulatory frameworks including market conduct and investor protection regimes.
- Ability to interpret complex regulations and provide clear, practical advice to business stakeholders.
- Excellent drafting, analytical and problem-solving skills.
- Strong communication and stakeholder management capabilities.
AVP - Compliance Advisory Investment Banking employer: Gresham Hunt
Gresham Hunt is an exceptional employer, offering a dynamic work environment within a Top Tier Global Banking Group that prioritises professional growth and development. Employees benefit from a collaborative culture that encourages innovation and provides extensive exposure to senior governance committees, while also enjoying comprehensive support for regulatory compliance initiatives in the fast-paced investment banking sector. With a focus on operational efficiency and regulatory oversight, this role presents a unique opportunity to make a significant impact in the EMEA region's compliance landscape.
StudySmarter Expert Advice🤫
We think this is how you could land AVP - Compliance Advisory Investment Banking
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment banking sector, especially those in compliance roles. A friendly chat can lead to insider info about job openings or even referrals that could give you an edge.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of US regulatory compliance and market conduct. Be ready to discuss how your experience aligns with the role's requirements, especially around capital markets and swap dealer activities.
✨Tip Number 3
Showcase your problem-solving skills! During interviews, share specific examples of how you've tackled compliance challenges in the past. This will demonstrate your ability to provide practical advice and solutions, which is key for this role.
✨Tip Number 4
Don't forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace AVP - Compliance Advisory Investment Banking
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the role of AVP - Compliance Advisory. Highlight your experience in investment banking compliance and any relevant regulatory knowledge, especially around US regulations. We want to see how your skills align with what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you a great fit for this role. Don’t forget to mention your understanding of market compliance and your ability to provide practical advice.
Showcase Your Communication Skills:Since this role involves a lot of stakeholder management, make sure to highlight your strong communication skills in your application. We want to see examples of how you've effectively communicated complex regulations to different teams in the past.
Apply Through Our Website:We encourage you to apply through our website for the best chance of getting noticed. It’s super easy and ensures your application goes directly to us. Plus, we love seeing candidates who take that extra step to connect with us directly!
How to prepare for a job interview at Gresham Hunt
✨Know Your Regulations
Make sure you brush up on US regulatory compliance obligations, especially around capital markets and swap dealer activities. Being able to discuss specific regulations like MAR and MiFID II will show that you're not just familiar with the basics but can provide proactive advice.
✨Showcase Your Experience
Prepare to talk about your previous roles in investment banking compliance. Highlight specific examples where you've enhanced compliance frameworks or managed regulatory change initiatives. This will demonstrate your hands-on experience and ability to drive operational efficiency.
✨Communicate Clearly
Strong communication skills are key for this role. Practice explaining complex regulations in simple terms, as you'll need to advise various teams. Use examples from your past to illustrate how you've successfully communicated compliance requirements to stakeholders.
✨Be a Team Player
This position requires collaboration with legal, risk, and operations teams. Be ready to discuss how you've partnered with different departments in the past to implement regulatory changes. Showing that you can work well across functions will make you stand out.
