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 70000 - 90000 £ 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 in London employer: Gresham Hunt
Gresham Hunt offers a dynamic and inclusive work environment within a Top Tier Global Banking Group, where compliance professionals can thrive and make a significant impact on US regulatory frameworks. Employees benefit from extensive exposure to senior governance committees and cross-functional teams, fostering collaboration and professional growth. With a commitment to operational efficiency and regulatory excellence, this role provides a unique opportunity to shape compliance strategies in a fast-paced investment banking landscape.
StudySmarter Expert Advice🤫
We think this is how you could land AVP - Compliance Advisory Investment Banking in London
✨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.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of US regulatory compliance and market conduct. We recommend practising common interview questions and scenarios related to compliance advisory to show you’re ready for the challenge.
✨Tip Number 3
Don’t just apply anywhere; focus on firms that align with your career goals. Use our website to find roles that match your skills and interests, and tailor your approach to each company’s culture and values.
✨Tip Number 4
Follow up after interviews! A quick thank-you email can keep you top of mind and show your enthusiasm for the role. Plus, it’s a great chance to reiterate why you’d be a perfect fit for their compliance team.
We think you need these skills to ace AVP - Compliance Advisory Investment Banking in London
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 specific knowledge of US regulatory requirements. We want to see how your background aligns with the key responsibilities outlined in the job description.
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Mention your understanding of market compliance and how you can contribute to enhancing the firm's US regulatory compliance framework. We love seeing genuine enthusiasm!
Showcase Your Skills:Don’t forget to highlight your analytical and problem-solving skills in your application. The role requires excellent drafting abilities and strong communication skills, so make sure we can see examples of these in your written application. Be clear and concise!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates. Plus, it’s super easy to do!
How to prepare for a job interview at Gresham Hunt
✨Know Your Regulations
Make sure you brush up on the key US regulatory requirements, especially those related to 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 compliance landscape but also ready to provide proactive advice.
✨Showcase Your Experience
Prepare to talk about your previous roles in investment banking compliance or regulatory advisory functions. Highlight specific examples where you've successfully navigated complex regulations or improved compliance frameworks. This will demonstrate your hands-on experience and problem-solving skills.
✨Communicate Clearly
Strong communication is key in this role. Practice articulating your thoughts clearly and concisely, especially when discussing technical topics. You might be asked to explain complex regulations to non-compliance stakeholders, so being able to simplify your explanations will be a huge plus.
✨Engage with Stakeholders
Think about how you can effectively partner with various teams like Legal, Risk, and Operations. Be ready to discuss how you've collaborated in the past to implement regulatory changes or enhance governance structures. Showing that you can work well with others will highlight your stakeholder management capabilities.
