An exceptional opportunity has arisen for an experienced compliance professional to step into a Vice President Compliance Advisory Private Side role within a globally recognised financial institution based in London. You will be at the forefront of regulatory change, working across both banking and securities arms under a dual-hat arrangement, ensuring robust compliance standards are maintained throughout the organisation.
What you'll do:
As Vice President Compliance Advisory Private Side, you will play an integral role in shaping the compliance landscape for private side businesses within a leading financial institution. Your day-to-day responsibilities will see you acting as the go-to advisor for Corporate & Investment Banking as well as other specialist groups. You will be relied upon to interpret complex regulations, provide actionable guidance to senior stakeholders, and ensure that all business activities remain compliant with both internal policies and external legal requirements. Your ability to communicate effectively will be essential when delivering training sessions or participating in investigations. By collaborating with cross-functional teams on global projects and policy updates, you will help drive continuous improvement in compliance standards while fostering an environment where ethical conduct is prioritised. Success in this role requires not only technical expertise but also strong interpersonal skills to build trust-based relationships across all levels of the organisation.
Provide comprehensive advisory coverage across private side businesses with a particular focus on Corporate & Investment Banking, ensuring all activities adhere to relevant regulations and internal policies. Deliver expert advice, guidance, and constructive challenge to business stakeholders on complex compliance matters to foster engagement and drive effective resolution. Participate in local and global projects by supporting the operational implementation of key regulatory change initiatives that impact capital markets products and services. Draft, review, and update policies and procedures as required to reflect evolving regulatory requirements and best practice standards within the industry. Design and deliver face-to-face training sessions for front office staff on critical regulatory topics and conduct matters to promote awareness and understanding. Support internal and external enquiries or investigations by providing accurate information, analysis, and recommendations as necessary. Act as a trusted advisor under a dual-hat arrangement across both banking arm and securities business, making decisions within your remit regardless of employing entity. Collaborate closely with colleagues across departments to ensure consistent application of compliance controls and risk management frameworks. Maintain up-to-date knowledge of key regulations such as MiFID II, MAR, Competition Law, and their implications for capital markets activities. Contribute to building a culture of integrity by promoting ethical behaviour, transparency, and accountability throughout the organisation.
What you bring:
To excel as Vice President Compliance Advisory Private Side, you will bring significant experience gained from working in front office compliance roles within major investment banks. Your technical proficiency spans capital markets products—from structured finance through derivatives—and encompasses detailed knowledge of relevant regulations such as MiFID II and MAR. Beyond technical skills, your success will be driven by your ability to connect with others: whether delivering training sessions that resonate with front office professionals or offering thoughtful guidance during complex investigations. Your methodical approach ensures that policies are not only compliant but also practical for business needs. You thrive in environments where collaboration is valued; your empathy enables you to understand diverse perspectives while maintaining high standards of integrity. With proven organisational capabilities and unwavering attention to detail—even under pressure—you consistently deliver results that support both regulatory obligations and commercial goals.
Extensive experience in a front office compliance advisory capacity within an investment banking environment is essential for success in this role. A deep understanding of capital markets products including loans, bonds, structured finance instruments, derivatives solutions, and related risk management practices is required. Comprehensive knowledge of key regulations applicable to capital markets such as MiFID II, MAR (Market Abuse Regulation), Competition Law is vital. Demonstrated ability to draft clear policies and procedures that align with evolving regulatory expectations while supporting business objectives. Exceptional interpersonal skills enabling you to build rapport with stakeholders at all levels while delivering sensitive or complex messages constructively. Outstanding communication abilities—both written and verbal—are necessary for providing training sessions as well as responding to enquiries or investigations. Proven organisational skills with the capacity to manage large workloads efficiently under tight deadlines without compromising attention to detail or accuracy. A proactive approach combined with sound judgement allows you to operate autonomously when appropriate while knowing when escalation is needed for optimal outcomes. A strong educational background supported by a university degree provides the foundation for your technical expertise in this field. A calm demeanour under pressure ensures you can perform effectively even during challenging situations or periods of heightened scrutiny.
Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates