Vice President, Compliance Advisory - Equity Derivatives And Structured Products

Responsibilities:

1. Equity Derivatives and Structured Products Oversight:

• Provide expert compliance advice on regulatory matters related to Equity Derivatives and Structured Products.
• Develop, implement, and maintain compliance policies and procedures specific to these financial instruments.
• Stay abreast of industry trends, regulatory changes, and market developments impacting Equity Derivatives and Structured Products.

1. Regulatory Engagement:

• Act as the key point of contact for regulatory inquiries and examinations related to Equity Derivatives and Structured Products.
• Collaborate with regulatory authorities to ensure adherence to local and international compliance standards.
• Represent the bank in industry forums and working groups to influence regulatory developments.

1. Risk Assessment and Monitoring:

• Conduct comprehensive risk assessments related to Equity Derivatives and Structured Products.
• Implement robust monitoring programs to identify and mitigate compliance risks.
• Work closely with other departments to ensure a proactive approach to risk management.

1. Training and Education:

• Develop and deliver targeted compliance training programs for staff involved in Equity Derivatives and Structured Products.
• Foster a culture of compliance awareness throughout the organization.

1. Policy Development:

• Collaborate with legal and business teams to create and update compliance policies and procedures.
• Ensure alignment with regulatory requirements and industry best practices.

Qualifications:

• Direct Compliance Advisory experience in the financial services industry.
• In-depth knowledge of Equity Derivatives and Structured Products compliance requirements.
• Strong understanding of relevant regulatory frameworks (e.g., FCA, ESMA).
• Proven experience in engaging with regulatory authorities and industry forums.
• Excellent analytical and problem-solving skills.
• Effective communication and interpersonal skills.
• Bachelor's degree in finance, law, or a related field; advanced degree preferred.

Please get in touch for details