Gresham Hunt have partnered with a Top Tier Global Banking Group who are seeking an experienced compliance professional to lead and enhance its EMEA framework for US regulatory compliance obligations relating to capital markets and swap dealer activities.
This is a highly visible role with broad exposure across front office, legal, compliance, risk, operations and senior governance committees. The successful candidate will act as a subject matter expert on US markets regulation, supporting both banking and securities activities across the region while driving operational efficiency, regulatory oversight and governance enhancement.
Key Responsibilities:
- Act as the lead SME for US markets and swap dealer regulatory obligations across EMEA business activities.
- Provide proactive regulatory advice and guidance to trading, sales, structuring and banking teams on applicable US regulatory requirements.
- Support the ongoing enhancement of the firm’s US regulatory compliance framework, policies and governance structures.
- Monitor regulatory developments and assess impacts to business activities, controls and operational processes.
- Partner with Legal, Risk, Operations and Regulatory Change teams to coordinate implementation of regulatory change initiatives.
- Oversee day-to-day management of US regulatory compliance activities and related operational processes.
- Assist with the design and implementation of scalable workflows and control frameworks supporting regulatory obligations.
- Support governance committees and senior management forums through reporting, escalation and regulatory insight.
- Coordinate annual compliance assessments, certifications and regulatory reporting obligations.
- Participate in internal reviews, regulatory examinations and external audits where required.
- Monitor adherence to compliance policies, procedures and regulatory obligations across impacted business lines.
- Conduct thematic reviews, control assessments and lookback exercises relating to US regulatory requirements.
- Support development of monitoring and surveillance frameworks relating to trading and conduct risks.
- Identify compliance risks and recommend practical remediation solutions.
Experience Required:
- Minimum 5 years’ experience within investment banking compliance, legal or regulatory advisory functions.
- Strong experience advising on US regulatory requirements within a capital markets environment.
- Proven background in markets compliance advisory supporting sales and trading businesses.
- Experience interacting with regulators, auditors and senior governance forums.
- Prior experience operating at VP level or equivalent within a global financial institution.
- Strong understanding of investment banking and markets products including fixed income, structured products, derivatives and financing solutions.
- Deep knowledge of US regulatory frameworks impacting capital markets and swap dealer activities.
- Good understanding of European regulatory frameworks including market conduct and investor protection regimes.
- Strong knowledge of compliance governance, risk management and controls frameworks.
- Ability to interpret complex regulations and provide clear, practical advice to business stakeholders.
- Excellent drafting, analytical and problem-solving skills.
- Strong communication and stakeholder management capabilities.