At a Glance
- Tasks: Lead compliance for US regulations in investment banking across EMEA, enhancing frameworks and advising teams.
- Company: Top Tier Global Banking Group with a strong focus on compliance and regulatory excellence.
- Benefits: Competitive salary, career advancement opportunities, and exposure to senior governance committees.
- Other info: Collaborative culture with opportunities to engage with regulators and senior management.
- Why this job: Make a significant impact on compliance strategies in a dynamic global banking environment.
- Qualifications: 5+ years in investment banking compliance with strong knowledge of US regulatory frameworks.
The predicted salary is between 80000 - 100000 € per year.
Gresham Hunt have partnered with a Top Tier Global Banking Group who are seeking an experienced compliance professional to lead and enhance 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 act as a subject matter expert on US markets regulation, supporting both banking and securities activities across the region while driving operational efficiency, regulatory oversight and governance enhancement.
Key Responsibilities:
- Act as the lead SME for US markets and swap dealer regulatory obligations across EMEA business activities.
- 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.
- Oversee 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 5 years’ experience within investment banking compliance, legal or regulatory advisory functions.
- Strong experience advising on US regulatory requirements within a capital markets environment.
- Proven background in markets compliance advisory supporting sales and trading businesses.
- Experience interacting with regulators, auditors and senior governance forums.
- Prior experience operating at VP level or equivalent within a global financial institution.
- Strong understanding of investment banking and markets products including fixed income, structured products, derivatives and financing solutions.
- Deep knowledge of US regulatory frameworks impacting capital markets and swap dealer activities.
- Good understanding of European regulatory frameworks including market conduct and investor protection regimes.
- Strong knowledge of compliance governance, risk management and controls frameworks.
- 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.
VP - 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 the EMEA regulatory landscape. Employees benefit from comprehensive professional development opportunities, a collaborative culture that values diverse perspectives, and the chance to engage with senior governance committees, ensuring their contributions are recognised and valued. Located in a vibrant financial hub, this role not only provides exposure to cutting-edge regulatory challenges but also fosters a strong sense of community and support among colleagues.
StudySmarter Expert Advice🤫
We think this is how you could land VP - Compliance Advisory Investment Banking in London
✨Network Like a Pro
Get out there and connect with people in the industry! Attend events, join relevant groups on LinkedIn, and don’t be shy about reaching out to folks who work at your target companies. You never know who might help you land that VP role!
✨Showcase Your Expertise
When you get the chance to chat with potential employers, make sure to highlight your experience with US regulatory compliance and capital markets. Share specific examples of how you've driven operational efficiency and enhanced governance structures in your previous roles.
✨Prepare for Interviews
Do your homework before interviews! Brush up on the latest US regulatory developments and be ready to discuss how they impact business activities. This will show you're not just knowledgeable but also genuinely interested in the role and the company.
✨Apply Through Our Website
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who are proactive and take the initiative to connect with us directly.
We think you need these skills to ace VP - Compliance Advisory Investment Banking in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to highlight your experience in compliance, especially within investment banking. Use keywords from the job description to show that you understand the role and have the relevant skills.
Craft a Compelling Cover Letter:Your cover letter should tell a story about your journey in compliance advisory. Highlight specific achievements and how they relate to the responsibilities listed in the job description. This is your chance to shine!
Showcase Your Regulatory Knowledge:Since this role requires deep knowledge of US regulatory frameworks, make sure to include examples of how you've navigated these regulations in your previous roles. This will demonstrate your expertise and readiness for the position.
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you’re considered for this exciting opportunity. Don’t miss out!
How to prepare for a job interview at Gresham Hunt
✨Know Your Regulations Inside Out
Make sure you brush up on US regulatory frameworks, especially those impacting capital markets and swap dealer activities. Being able to discuss specific regulations and their implications will show that you're not just familiar with the rules but can also apply them practically.
✨Showcase Your Advisory Skills
Prepare examples of how you've provided proactive regulatory advice in previous roles. Think about situations where your guidance made a significant impact on compliance or operational efficiency. This will demonstrate your ability to support trading, sales, and banking teams effectively.
✨Engage with Stakeholders
Be ready to discuss how you've collaborated with various teams like Legal, Risk, and Operations. Highlight your experience in coordinating regulatory change initiatives and how you’ve communicated complex regulations to different stakeholders. This shows your versatility and strong communication skills.
✨Demonstrate Problem-Solving Abilities
Think of instances where you've identified compliance risks and implemented practical remediation solutions. Be prepared to discuss these scenarios in detail, as they will illustrate your analytical skills and your proactive approach to compliance challenges.
