At a Glance
- Tasks: Lead US regulatory compliance for capital markets and swap dealer activities across EMEA.
- Company: Top Tier Global Banking Group with a strong focus on compliance and governance.
- Benefits: Competitive salary, career advancement opportunities, and exposure to senior governance committees.
- Other info: Collaborative culture with opportunities to work alongside legal, risk, and operations teams.
- Why this job: Make a significant impact in a highly visible role within a dynamic banking environment.
- Qualifications: 5+ years in investment banking compliance with strong US regulatory knowledge.
The predicted salary is between 100000 - 150000 £ 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 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 extensive 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 competitive remuneration but also the unique advantage of working at the forefront of regulatory compliance in investment banking.
StudySmarter Expert Advice🤫
We think this is how you could land VP - Compliance Advisory Investment Banking
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment banking sector, especially those who are already in compliance roles. A friendly chat can lead to insider info about job openings or even a referral.
✨Tip Number 2
Prepare for interviews by brushing up on US regulatory frameworks and recent changes. We want you to be the go-to expert in the room, so practice explaining complex regulations in simple terms. This will show your potential employer that you can communicate effectively with various teams.
✨Tip Number 3
Don’t just wait for job postings; proactively reach out to companies you admire. Send a quick email expressing your interest in compliance roles and how you can add value. You never know when a position might open up!
✨Tip Number 4
Use our website to apply directly for roles that catch your eye. It’s super easy and ensures your application gets seen by the right people. Plus, we’re always looking for talented individuals like you to join our team!
We think you need these skills to ace VP - Compliance Advisory Investment Banking
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 the role. Plus, it shows you’re proactive and keen on joining our team!
How to prepare for a job interview at Gresham Hunt
✨Know Your Regulations Inside Out
Make sure you brush up on US regulatory requirements, especially those related to 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 basics but are a true subject matter expert.
✨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.
✨Highlight Your Cross-Functional Experience
Since this role involves collaboration with various teams like Legal, Risk, and Operations, be ready to discuss your experience working across different departments. Share specific instances where you coordinated with these teams to implement regulatory changes or enhance governance structures.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world scenarios. Think about compliance risks you've identified in the past and how you recommended practical remediation solutions. This will showcase your analytical abilities and your approach to managing compliance challenges.
