Compliance Advisory VP - Private Side

Key Responsibilities:

• Provide timely and accurate compliance advice to the private side of the business
• Interpret and communicate regulatory requirements and industry standards to business units, ensuring adherence to applicable laws and regulations.
• Collaborate with business stakeholders to develop and implement compliance controls, policies, and procedures tailored to the unique needs of the private side.
• Conduct risk assessments and compliance reviews to identify areas of improvement and mitigate potential compliance risks.
• Stay abreast of regulatory developments and industry trends impacting the private side of the business, advising on the implications and necessary actions.
• Assist in the development and delivery of compliance training programs for employees within the private side business units.
• Serve as a subject matter expert on compliance matters, providing guidance and support to internal stakeholders and external partners as needed.

Qualifications:

• Bachelor's degree in finance, law, business, or a related field..
• Proven experience working in compliance within the financial services industry, with a focus on the private side of investment banking.
• Strong understanding of relevant regulations, including MiFID II, MAR, EMIR, and other applicable directives and regulations.
• Excellent communication and interpersonal skills, with the ability to effectively engage and collaborate with stakeholders at all levels of the organization.
• Analytical mindset with the ability to assess complex regulatory requirements and develop practical solutions.
• Proactive approach to problem-solving and a demonstrated ability to work independently and as part of a team in a fast-paced environment.
• High level of integrity and ethical standards, with a commitment to upholding the highest levels of compliance and professionalism.

For details please get in touch