Equities Compliance Advisory VP

Robert Walters UK; London; Hybrid; GBP 90,000 - 120,000; Full time

Job summary

A leading global financial services organisation is seeking an Equities Compliance Advisory Vice President in London. The role focuses on providing compliance guidance, supporting trading floor operations, and ensuring adherence to regulatory standards while promoting a collaborative culture within the organization.

Benefits

Flexible working arrangements

Ongoing learning opportunities

Qualifications

• Experience on a trading floor environment.
• Ability to navigate complex regulatory frameworks.
• Proven capability in stakeholder management.

Responsibilities

• Provide regulatory advice related to equities transactions.
• Monitor and distill new regulations for management.
• Deliver training sessions to enhance compliance awareness.

Skills

analytical skills

communication skills

team collaboration

Education

substantial experience in compliance roles

understanding of UK, EU regulations

Job description

Equities Compliance Advisory Vice PresidentSalary: Competitive and based on experienceLocation: LondonKeywords: compliance advisory, equities business, regulatory advice, trading floor, stakeholder management, regulatory projects, analytical skills, team collaborationA leading global financial services organisation is seeking an experienced Equities Compliance Advisory Vice President to join its London-based team. This is a unique opportunity to work at the heart of the Global Markets division, providing expert compliance guidance and regulatory support to a dynamic trading floor environment. The role offers exposure to a broad range of products including Equity Derivatives, Prime, and Structured Products, as well as the chance to collaborate with colleagues across Fixed Income and other business areas. You will play a pivotal part in interpreting complex regulations, supporting high-profile projects, and ensuring that the business operates within a robust compliance framework. With a strong commitment to diversity, inclusion, and professional development, this organisation provides an engaging workplace where your expertise will be valued and your career can flourish.* Work closely with senior stakeholders on the trading floor, providing day-to-day compliance advice for European Equities and related products while supporting wider Global Markets activities.* Be at the forefront of regulatory change by analysing new requirements, briefing management, and participating in key regulatory projects that shape the future of the business.* Enjoy a collaborative culture that values teamwork, knowledge sharing, and continuous learning within a supportive and inclusive environment.What you'll do:As an Equities Compliance Advisory Vice President based in London, you will immerse yourself in a fast-paced trading floor setting where your ability to interpret regulations and offer practical solutions will be essential. Your day-to-day responsibilities will involve working directly with sales and trading desks to address compliance matters related to equities transactions while also contributing your expertise across Fixed Income markets when needed. You will be instrumental in tracking regulatory changes, briefing senior leaders on their impact, and driving successful project outcomes that enhance operational integrity. By delivering targeted training sessions and preparing insightful management reports, you will help foster a culture of compliance awareness throughout the organisation. Your proactive approach to monitoring activities ensures that policies remain current and effective amid shifting market conditions. Success in this role requires not only technical proficiency but also excellent communication skills, strong analytical thinking, and a genuine enthusiasm for supporting colleagues through collaborative problem-solving.* Provide comprehensive compliance coverage and daily regulatory advice to the European Equities business, addressing transactional queries and resolving issues arising from business activities.* Support the broader Global Markets Compliance team by assisting with coverage of Fixed Income trading floors including FX, Rates, Credit, and Flow/Structured products.* Act as a key stakeholder for relevant regulations such as MIFID, MAR, Short Selling, and PRIIPs, ensuring ongoing compliance across all applicable areas.* Monitor regulatory developments affecting the business and communicate changes effectively to senior management and relevant teams.* Analyse new regulations thoroughly and distil complex information into clear briefings for decision-makers within the organisation.* Participate actively in both internal and external enquiries including those from venues or exchanges as well as regulatory bodies.* Deliver regular and ad hoc training sessions to business units to promote awareness of compliance policies and procedures.* Prepare management information reports that provide insights into compliance trends and emerging risks within the trading environment.* Maintain up-to-date knowledge of the firm’s products, commercial landscape, and evolving regulatory context to ensure effective implementation of compliance standards.* Conduct regular monitoring reviews alongside ad-hoc assessments to identify potential areas for improvement in compliance processes.

What you bring:

To excel as an Equities Compliance Advisory Vice President you will bring substantial experience from previous roles supporting Global Markets or similar environments where regulatory interpretation is paramount. Your background should include hands-on involvement with trading floor operations—enabling you to understand both the pace of activity and the importance of timely compliance interventions. You are adept at navigating complex rulebooks spanning UK, EU, and international jurisdictions; your ability to translate these into actionable guidance sets you apart. Your interpersonal strengths shine through when collaborating with colleagues or presenting findings clearly to senior management. Analytical rigour is second nature—you are comfortable distilling intricate data into meaningful insights that inform strategic decisions. Organisationally astute, you balance competing priorities seamlessly while always upholding high standards of accuracy. Above all else, your approachable manner fosters trust among peers who rely on your expertise during critical moments.

• Demonstrated experience in a business-facing Compliance role within a Global Markets environment with direct exposure to trading floor operations.
• Comprehensive understanding of UK, EU, cross-border rules and regulations relevant to equities businesses including trading venue requirements.
• Familiarity with Dodd-Frank swaps regulation would be advantageous though not essential for success in this position.
• Ability to manage multiple tasks efficiently under pressure while maintaining meticulous attention to detail in all aspects of work.
• Excellent verbal and written communication skills enabling you to interact confidently with sales/trading desks as well as corporate support functions.
• Well-developed analytical abilities allowing you to synthesise large volumes of complex information into concise briefings for senior stakeholders.
• Strong organisational skills coupled with an aptitude for meeting tight deadlines without compromising quality or accuracy.
• Proven track record as a dependable team player who builds positive relationships across departments through effective stakeholder management.
• Genuine interest in financial services combined with willingness to thrive in an interactive trading floor environment where adaptability is key.

What sets this company apart:

This organisation stands out for its unwavering dedication to fostering an inclusive workplace where every individual’s contribution is recognised and respected. With nearly a century-long heritage connecting markets globally, it has built its reputation on thoughtful leadership and responsible stewardship—qualities reflected in its approach to employee development. Here you will find opportunities for ongoing learning through structured training programmes designed to keep your skills sharp amid evolving industry demands. The company’s commitment extends beyond professional growth: it champions equal opportunities for all staff regardless of background or personal circumstances. Flexible working arrangements are supported wherever possible so you can achieve balance between career ambitions and personal wellbeing. As part of this forward-thinking team you’ll benefit from open communication channels with leadership who value transparency as much as performance—making it an ideal place for those seeking both challenge and support on their career journey.

What's next:

If you are ready to take your compliance career further within a collaborative global markets environment then this could be your next exciting move—apply now if you feel inspired by what you have read!

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates

About the job

Contract Type: FULL_TIME

Focus: Compliance

Workplace Type: Hybrid

Experience Level: Mid Management

Location: London

Contract Type: FULL_TIME

Specialism: Banking & Financial Services

Focus: Compliance

Industry: Financial Services

Salary: £90,000 - £120,000 per annum

Workplace Type: Hybrid

Experience Level: Mid Management

Location: London

FULL_TIME

Job Reference: JFK254-D7CAA935

Date posted: 6 June 2025

Consultant: Emily Hamburg

london banking-financial-services/compliance 2025-06-06 2025-08-05 financial-services London London GB GBP 90000 120000 120000 YEAR Robert Walters https://www.robertwalters.co.uk https://www.robertwalters.co.uk/content/dam/robert-walters/global/images/logos/web-logos/square-logo.png true