An opportunity has arisen for an experienced Compliance professional to join a Markets Compliance team within a leading global investment banking environment. This Vice President-level role focuses on providing day-to-day Compliance oversight and advisory support to front office trading businesses across asset classes including Foreign Exchange, Fixed Income, Rates, and Emerging Markets.
The role requires close collaboration with trading desks, Compliance colleagues, and infrastructure functions to promote a strong compliance culture and ensure adherence to regulatory expectations and internal policies.
Key Responsibilities
- Provide timely, practical Compliance advice on a wide range of regulatory and conduct-related matters
- Support front office teams with trading-related queries, including transaction reviews, potential conflicts of interest, and non-standard trades
- Identify, assess, and advise on regulatory and reputational risks associated with business activities
- Contribute to new product approvals, process reviews, and regulatory change initiatives
- Assist in Compliance-led investigations, surveillance activities, and internal or external audit processes
- Deliver tailored Compliance training to business stakeholders, aligned with regulatory developments and business needs
- Represent Compliance in governance forums, offering constructive challenge and guidance
- Partner with global Compliance teams to ensure consistency in policy interpretation and application
- Conduct Compliance monitoring and verification activities, tracking and supporting remediation efforts
Required Experience & Skills
- Demonstrated experience in a Compliance, Business Oversight, or Advisory role within a financial services or investment banking environment
- Strong understanding of trading environments and associated conduct and regulatory risks
- Solid knowledge of financial products, including fixed income instruments, interest rate derivatives, and foreign exchange products
- Good understanding of regulatory frameworks relevant to global markets businesses
- Strong analytical capabilities with the ability to interpret and apply complex regulatory requirements
- Excellent communication skills, with the ability to engage effectively with senior stakeholders
Preferred Capabilities
- Experience working in a global investment bank within a Markets Compliance function
- Familiarity with UK and EU regulatory frameworks impacting trading activities
- Ability to manage competing priorities in a fast-paced environment with strong attention to detail
- Sound judgment, integrity, and the confidence to challenge constructively
- Experience mentoring or supporting the development of junior team members
- Strong collaboration skills, with the ability to work both independently and within a global team