Vice President Compliance in City of London

Job description

VP Compliance Advisory - Equities

Investment Banking

London, UK

We are seeking an experienced VP-level Compliance Advisory professional to join a leading Investment Banking Compliance team, focusing on Equity Capital Markets (ECM).

The successful candidate will play a critical role in advising the ECM business on regulatory and compliance matters, helping to ensure that all activities are conducted in line with applicable laws, regulations, and internal policies.

Key Responsibilities

• Act as the primary Compliance Advisor to the ECM and syndicate desks (including IPOs, rights issues, block trades, and secondary offerings)
• Provide real-time, deal-specific compliance guidance to bankers and syndicate personnel throughout the transaction lifecycle
• Advise on regulatory obligations including MAR, UKLA/ESMA requirements, FCA/PRA/SEC rules, and internal policies (e.g., Information Barriers, conflicts management, wall-crossing protocols)
• Review deal documentation for compliance risks and ensure proper disclosures, record keeping, and escalation processes are followed
• Maintain and enhance policies, procedures, and training related to ECM activities

Required Skills & Experience

• Relevant compliance experience within ECM, Investment Banking, or Capital Markets at a major bank or financial institution
• Deep knowledge of ECM products, transaction structures, and relevant regulatory frameworks (e.g., MAR, MiFID II, UK Listing Rules, SEC/FINRA rules if cross-border)
• Experience advising on conflicts management, inside information handling, and wall-crossing protocols
• Legal, compliance, or regulatory background preferred (law degree, regulatory body experience, etc.)
• Degree in Law, Finance, Business, or related discipline

Why Join?

• Work at the heart of a global investment bank with a strong reputation in Capital Markets
• Be part of high-profile ECM and M&A transactions that shape the industry
• Collaborate with some of the brightest minds in banking
• Enjoy a supportive, inclusive, and high-performance culture

If this sounds like you, please click apply or send your CV to sam.vale@blackswangroup.com

Extra information

Status

Open

Education Level

Secondary School

Location

City of London

Type of Contract

Part-time jobs

Published at

18-09-2025

Profession type

Accountancy

Full UK/EU driving license preferred

No

Car Preferred

No

Must be eligible to work in the EU

No

Cover Letter Required

No

Languages

English