Vice President, Compliance Advisory - Equity Derivatives and Structured Products

Full Job Description

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.

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