Director Compliance Advisory

Job Description: Capital Markets Compliance Director- Global Investment Bank

Company: [Global Investment Bank]

Location: Central London

Employment Type: Full-Time

Reports To: [Head of Advisory/Head of Compliance]

About Us: My client is a prestigious financial institution with a global presence and a rich history of serving clients in various financial markets. They are seeking an experienced Capital Markets Compliance VP or Director to lead a team of 3 compliance professionals across Europe. This role is pivotal in ensuring the integrity of our capital markets activities and maintaining regulatory compliance.

Responsibilities:

• Lead and manage a team of 3 compliance professionals, providing guidance, mentorship, and performance assessments.
• Oversee all capital markets compliance activities across Europe, covering a range of capital markets desks.
• Collaborate with senior management and stakeholders to develop and implement compliance strategies and frameworks.
• Stay abreast of evolving regulatory requirements and industry best practices, ensuring alignment with global compliance standards.
• Provide expert guidance on compliance matters related to capital markets transactions, focusing on the public side of investment banking.
• Develop and deliver compliance training programs to enhance the team’s understanding of rules and regulations.
• Conduct regular assessments and audits to identify potential compliance risks and implement corrective actions.
• Serve as the main point of contact for regulatory inquiries and examinations, ensuring timely and accurate responses.
• Prepare and present compliance reports to senior management and regulatory bodies as required.

Qualifications:

• Bachelor’s degree in Finance, Law, Business, or related field. Master’s degree or relevant certifications are a plus.
• Extensive experience (10+ years) in capital markets compliance within the public side of an investment bank.
• Proven managerial experience, with the ability to lead and inspire a team to achieve compliance objectives.
• Strong understanding of rules and regulations specific to Fixed Income, Currencies, and Commodities (FICC) products.
• In-depth knowledge of market abuse regulations, MiFID II, MAR, and other relevant financial regulations.
• Excellent analytical skills, with the ability to interpret complex regulations and apply them to real-world scenarios.
• Exceptional communication skills, both written and verbal, to effectively interact with stakeholders at all levels.
• Strong attention to detail and the ability to handle sensitive and confidential information.
• Proficiency in relevant compliance tools and systems.

Perks and Benefits:

• Hybrid working, 3 days in the office 2 at home.
• Competitive salary , plus a performance-based bonuses.
• Comprehensive benefits package, including health, dental, and retirement plans.
• Opportunity to work in a dynamic and collaborative environment with a global reach.
• Professional growth and development opportunities through training and networking.
• Central London location with access to a vibrant financial hub.

If you are interested and would like to know more about the role, please reach out to me directly ne@barclaysimpson.com with your CV.