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VP Compliance Advisory - Fixed Income (Rates)

London, United Kingdom
£80k - £120k
Closing date
Aug 11, 2023

View more

Job Function
Industry Sector
Finance - General
Employment Type
Full Time
  • Serve as the primary point of contact for Compliance-related matters pertaining to the rates business.
  • Conduct in-depth analysis of regulatory requirements, assess their impact on business operations, and provide proactive guidance to relevant teams.
  • Develop and maintain compliance policies, procedures, and controls specific to fixed income rates, ensuring alignment with industry best practices and regulatory expectations.
  • Collaborate with business units to identify and address compliance risks, providing guidance on product development, deal structuring, and client interactions.
  • Conduct compliance training and awareness sessions to enhance the understanding of regulatory obligations within the fixed income rates space.
  • Perform regular compliance monitoring, testing, and surveillance activities to identify and mitigate potential compliance breaches.
  • Participate in regulatory examinations and internal audits, ensuring prompt resolution of any identified issues.
  • Stay abreast of industry trends, regulatory developments, and emerging risks related to fixed income rates, and communicate updates to relevant stakeholders.

  • Bachelor's degree in Finance, Business, Law, or a related field. Advanced degree or professional certifications (e.g., CAMS, CFA) is a plus.
  • Experience in Compliance within the investment banking or financial services industry, with a strong focus on fixed income.
  • In-depth knowledge of regulatory requirements and industry best practices governing fixed income rates, such as Dodd-Frank, MiFID II, Volcker Rule, etc.
  • Strong analytical skills with the ability to interpret complex regulations and assess their impact on business operations.
  • Excellent communication and interpersonal skills, with the ability to collaborate effectively across all levels of the organization.
  • Proven track record of implementing compliance programs, policies, and procedures within a fixed income rates context.
  • Detail-oriented mindset, with the ability to prioritise tasks, meet deadlines, and manage multiple projects simultaneously.

For details please get in touch

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