Employee Compliance VP

VP – Compliance Officer – Employee Compliance

An exciting opportunity has arisen at a leading global financial institution for a dynamic and experienced Compliance Officer at VP level. This critical hire will sit within the central compliance team and take ownership of key compliance areas including employee conduct, conflicts of interest, and COBS obligations.

As a senior compliance professional, you will act as a trusted advisor to the business and provide subject matter expertise on personal account dealing, outside business interests, gifts & entertainment, and conflicts management. You’ll work closely with front-office teams, HR, legal and global compliance colleagues to ensure robust policies, training, and oversight frameworks are in place and aligned with FCA regulations and internal risk appetite.

A core part of the role will involve managing the firm’s conflicts register, reviewing new business proposals for potential conflicts, and ensuring adherence to COBS-related requirements such as suitability, inducements, and client communications. You will also lead on policy reviews, deliver targeted employee training, and respond to regulatory developments and internal audits.

This is a fantastic opportunity for a proactive and collaborative compliance professional with strong regulatory knowledge, excellent interpersonal skills, and the confidence to influence at senior levels.

Key Requirements:

• Strong working knowledge of FCA regulations, particularly COBS and SYSC
• Proven experience in employee compliance and conflicts management
• Previous experience in a buy-side, investment bank, or global financial services firm
• Excellent stakeholder management and written communication skills
• Ability to manage multiple priorities in a fast-paced environment