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- Tasks: Advise on compliance for high-profile equity transactions and ensure regulatory adherence.
- Company: Leading global investment bank with a strong reputation in Capital Markets.
- Benefits: Supportive culture, collaboration with top professionals, and involvement in industry-shaping transactions.
- Why this job: Join a dynamic team at the forefront of investment banking and make a real impact.
- Qualifications: Experience in ECM compliance and a degree in Law, Finance, or related fields.
- Other info: Inclusive environment with opportunities for professional growth.
The predicted salary is between 72000 - 108000 £ per year.
VP Compliance Advisory – EquitiesInvestment BankingLondon, UKWe are seeking an experienced VP-level Compliance Advisory professional to join a leading Investment Banking Compliance team, focusing on Equity Capital Markets (ECM). The successful candidate will play a critical role in advising the ECM business on regulatory and compliance matters, helping to ensure that all activities are conducted in line with applicable laws, regulations, and internal policies.Key ResponsibilitiesAct as the primary Compliance Advisor to the ECM and syndicate desks (including IPOs, rights issues, block trades, and secondary offerings)Provide real-time, deal-specific compliance guidance to bankers and syndicate personnel throughout the transaction lifecycleAdvise on regulatory obligations including MAR, UKLA/ESMA requirements, FCA/PRA/SEC rules, and internal policies (e.g., Information Barriers, conflicts management, wall-crossing protocols)Review deal documentation for compliance risks and ensure proper disclosures, record keeping, and escalation processes are followedMaintain and enhance policies, procedures, and training related to ECM activitiesRequired Skills & ExperienceRelevant compliance experience within ECM, Investment Banking, or Capital Markets at a major bank or financial institutionDeep knowledge of ECM products, transaction structures, and relevant regulatory frameworks (e.g., MAR, MiFID II, UK Listing Rules, SEC/FINRA rules if cross-border)Experience advising on conflicts management, inside information handling, and wall-crossing protocolsLegal, compliance, or regulatory background preferred (law degree, regulatory body experience, etc.)Degree in Law, Finance, Business, or related disciplineWhy Join?Work at the heart of a global investment bank with a strong reputation in Capital MarketsBe part of high-profile ECM and M&A transactions that shape the industryCollaborate with some of the brightest minds in bankingEnjoy a supportive, inclusive, and high-performance cultureIf this sounds like you, please click apply or send your CV to sam.vale@blackswangroup.com
Vice President Compliance employer: LinkedIn
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StudySmarter Expert Advice 🤫
We think this is how you could land Vice President Compliance
✨Tip Number 1
Network like a pro! Reach out to your connections in the investment banking world, especially those in compliance. A friendly chat can lead to insider info about job openings that aren't even advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on ECM regulations and compliance practices. We recommend creating a cheat sheet of key topics to discuss, so you can impress the interviewers with your knowledge and confidence.
✨Tip Number 3
Showcase your expertise! During interviews, share specific examples of how you've navigated compliance challenges in past roles. This will demonstrate your hands-on experience and problem-solving skills.
✨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 Vice President Compliance
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the VP Compliance role. Highlight your relevant experience in ECM and compliance, and don’t forget to mention any specific regulatory frameworks you’re familiar with. We want to see how your background aligns 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 the perfect fit for this role. Talk about your experience advising on compliance matters and how you can contribute to our team. Keep it engaging and professional – we love a good story!
Showcase Your Knowledge: In your application, make sure to showcase your deep knowledge of ECM products and transaction structures. Mention any specific experiences where you’ve navigated complex regulatory environments. This will help us see your expertise in action!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application directly and ensures you don’t miss out on any important updates. Plus, it shows you’re keen to join our team!
How to prepare for a job interview at LinkedIn
✨Know Your Regulatory Stuff
Make sure you brush up on the key regulations like MAR, UKLA/ESMA requirements, and FCA/PRA rules. Being able to discuss these confidently will show that you're not just familiar with compliance but that you can apply this knowledge in real-time scenarios.
✨Showcase Your ECM Experience
Prepare specific examples from your past roles where you've successfully navigated compliance issues in ECM. Whether it’s advising on IPOs or managing conflicts, having concrete stories ready will demonstrate your expertise and make you stand out.
✨Understand the Deal Lifecycle
Familiarise yourself with the entire transaction lifecycle in ECM. Be ready to discuss how you would provide compliance guidance at each stage, from initial discussions to final documentation, showing that you can add value throughout the process.
✨Ask Insightful Questions
Prepare thoughtful questions about the company’s compliance culture and how they handle regulatory changes. This not only shows your interest in the role but also gives you a chance to assess if their values align with yours.