VP Swap Dealer Compliance Advisory

Our client, a global Investment Bank is seeking a Vice President, Compliance Advisory professional to lead the US regulatory compliance and reporting activities across the EMEA region. This is an exceptional opportunity for a Vice President, Compliance Advisory professional to make a significant impact by ensuring compliance with complex US regulations across diverse business lines.

As a SME for US regulatory requirements, you will play a pivotal role in shaping and enhancing the US regulatory compliance framework and the day-to-day management of US regulatory tasks, the development of efficient workflows, and acting as the primary contact for all US regulatory advisory matters.

Key Responsibilities:

• Oversee the day-to-day management and execution of US regulatory tasks, ensuring compliance with CFTC/NFA and SEC Swap Dealer regulations.
• Support and provide strategic advice to senior management and business lines on US regulatory issues, identifying potential risks, providing solutions, and managing escalations.
• Collaborate closely with the Regulatory Change Team to implement regulatory updates, ensuring that policies, procedures, and training are aligned with evolving US regulations.
• Represent Compliance Advisory at the Swap Dealer Oversight Committee, ensuring regulatory compliance is consistently adhered to across business lines.
• Provide training to front-office teams, with a focus on US regulations for Swap Associated Persons and other relevant compliance matters.

The successful candidate will have extensive experience in a Compliance Advisory or Legal role, specialising in US regulatory compliance within the investment banking sector. Proven track record as a Vice President (VP) in Market Side Compliance, with expertise in US regulations (including CFTC/NFA and SEC Swap Dealer). Strong experience in Sales and Trading, with a deep understanding of market compliance, regulatory frameworks, and product knowledge.

This is a unique opportunity to join a global leader in investment banking and make a significant impact. For further information please reach out to Claire.singer@robertwalters.com.

About the job

Contract Type: FULL_TIME

Focus: Compliance

Salary: Plus bonus and benefits

Workplace Type: Hybrid

Experience Level: Senior Management

Location: City of London

Industry: Financial Services

Job Reference: C1XLDS-F8A260F2

Date posted: 20 January 2025

Consultant: Claire Singer

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