Local Knowledge Global Resources Specialist Consultants

  • London
  • New York
  • Dubai
  • Hong Kong
  • Singapore

Compliance Advisory VP - Investment Bank

Location: London, England, United Kingdom

Salary: £90,000

Compliance Advisory - Transaction Reporting VP 


Investment bank

The successful candidate will be tasked with any of the following activities:

  • Create and maintain a regulatory inventory
  • Update relevant policies to ensure they reflect regulatory requirements for the front line unit and control function.
  • Contribute to compliance risk assessments
  • Contribute to monitoring and testing coverage plans and related metrics
  • Monitor and test the effectiveness of the front line unit and control function compliance risk controls 
  • Identify aggregate, report and escalate compliance risks, issues and control enhancements 


As a Compliance Specialist your responsibilities will involve:

  • Compliance oversight of the relevant regulations undertaken by operations departments of the UK Entities
  • Effective assessment of new regulation and interpretation of changes ensuring effective implementation with Bank reporting systems
  • Communication of changes and education provision to relevant staff on Transaction reporting developments.
  • Assisting with the maintenance of an excellent working relationship with the TMU and any ongoing dialog with the FCA on this topic.
  • Attendance at internal working forums relating to the Transaction reporting function (MiFID II, EMIR, STFR), Client Assets and other relevant regulation as required.

As a Compliance Specialist your skills/competencies would include:


  • Educated to degree level
  • Ability to take decisions when required and to escalate when necessary
  • Genuine interest in the securities markets, regulation and changing legislation
  • Previous experience of working in a regulatory environment with experience of at least one of the following EMIR, MiFID II, CASS
  • An understanding of the Equity markets, products and a desire to work in a Trading Floor environment
  • Sound understanding of the markets
  • A flexible and solution driven perspective, able to solve problems and a determination to seek answers to complex issues


  • Good Communication skills
  • Workable level of standard IT packages
  • Good team attitude, willing to interact and discuss issues in a team environments