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VP Compliance (Investment Banking)

McGregor Boyall
Closing date
31 Jan 2022

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Contract Type
Full Time
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VP Compliance (Investment Banking)

Investment Banking Compliance provides day to day Compliance advisory services to the Investment Banking Division.

Key Accountabilities

To be part of a team providing day to day compliance support and oversight for EMEA DCM, Leveraged Finance, Risk Solutions Group and Fixed Income Syndicate, and sector teams, focusing primarily on:
  • Developing close working relationships with Front Office and other relevant infrastructure colleagues including Legal, Operations, Credit Risk and Operational Risk
  • Reviewing and advising on transactions, governance and controls, marketing and other matters relating to ongoing business activity, including identifying potential issues and aligning solutions with Bank and Compliance strategy
  • Contributing to and influencing the Group, Investment Bank and Investment Banking (private side) work on policies and procedures, regulatory development, management information and surveillance initiatives
  • Supporting and influencing business projects with Compliance implications
  • Promoting regional and global collaboration in Investment Banking Compliance coverage, including participating in business and infrastructure committees and liaising with Compliance and Legal colleagues in Europe and other regions
  • Identifying Compliance training priorities and developing and delivering Compliance training
  • Advising on regulatory aspects of the handling of client complaints and litigation, including identifying and escalating emerging trends and issues

Risk and Control Objective

Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Operational Risk Framework and internal Policies and Standards.

Person Specification
  • Act as a culture carrier and role model for others in the team, leading by example
  • Experience and qualifications commensurate with a VP role gained in the Legal or Compliance departments of an investment bank or law firm.
  • Good understanding of the UK/EU regulatory environment and relevant regulation including subject matter expertise in relation to: the Market Abuse Regulation and the FCA Handbook
  • Good product knowledge
  • Independent ability to check and challenge and escalate when appropriate
  • Exercises integrity and judgment to influence behaviours
  • Ability to spot problems and proactively drive change
  • Resilience to change, ability to deal with conflict, adaptability
  • Strong verbal and written communication; good interpersonal, influencing, and negotiating skills
  • Strong team player
  • Ambitious, intelligent and hard working individual; entrepreneurial self starter
  • Reliable, dependable, accountable Strong analytical skills - thorough with a good eye for detail
  • Able to identify potential conduct issues, to develop strategies to mitigate risk and to escalate as appropriate
  • Developing business judgement and commercial awareness
  • Relevant product knowledge and keen interest in developing this further

Essential Skills/Basic Qualifications:
  • Track record of experience in Compliance or another control function of an investment bank
  • Exposure to advising the Front Office and strong knowledge of 'over-the-counter' derivatives products will be advantageous
  • Experience in any of the following duties will also be advantageous: developing Compliance policy, assessing conduct risk, considering potential conflicts of interest, implementing Compliance procedures, developing and delivering Compliance training, monitoring, review of products or transactions and conducting investigations

Desirable skills/Preferred Qualifications:
  • Academic and professional qualifications: University degree or equivalent. A relevant professional qualification such as compliance, legal, accountancy, investment trading/sales or operations will be advantageous
  • Language skills: Not required, although fluency or business-level understanding of major languages of the EME region will be advantageous
McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.
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