Vice President, EMEA Employee Compliance Advisory
Core
Provide practical, risk-based Employee Compliance advice across EMEA regarding personal trading, private investments, Outside Business Activities (OBA), and Gifts & Entertainment (G&E) for the executive population.
Role type
Senior IC compliance advisory leader (VP level)
Builds
Regional advisory framework, policy exceptions, training campaigns, and compliance notifications for EMEA executives
Domain
Financial services / Asset management / Employee Compliance
Deliverable
client delivery
Required skills
Employee compliance expertise, risk judgment, regulatory interpretation, stakeholder management, policy exception review, training delivery, cross-functional partnership
Preferred skills
Advanced legal/compliance qualification, private markets experience, private investment review experience
Technologies
None stated
Responsibilities
Manage complex employee compliance queries and submissions; Issue non-compliance notifications and support targeted campaigns; Review policy exceptions and pre-clearance requests; Provide high-touch support to EMEA executives; Operate regional advisory hotline; Partner with regional CCOs and other functions to inform policy and controls
