VP, Advisory Job Description
VP, advisory
provides advisory with strong knowledge in Security Operations Centre (SOC) Consulting and Security Architecture Assessment and Design for IOT, Cloud Security, etc.
VP, Advisory Duties & Responsibilities
To write an effective VP, advisory job description, begin by listing detailed duties, responsibilities and expectations. We have included VP, advisory job description templates that you can modify and use.
Sample responsibilities for this position include:
Provide support and advice to compliance colleagues and businesses on applicable State/Federal US banking rules/regulations, and on applicable supervisory guidance issued by these agencies
Manage and support US bank regulatory monitoring and testing program with a focus on lending and deposit related regulations
Conduct bank regulatory compliance reviews of business activities and processes
Create and distribute relevant bank regulatory compliance MIS to various stakeholders
Develop and provide bank regulatory compliance training to Barclays staff
Evaluate compliance processes and controls within compliance and within impacted businesses to assess effectiveness
Assist front office and support areas with development of bank compliance related processes and procedures
Liaise with, coordinate with and support as necessary business line compliance colleagues
Work with internal and external counsel on US bank regulatory compliance matters
Monitor, update and develop as necessary compliance policies
VP, Advisory Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for VP, Advisory
List any licenses or certifications required by the position: CTFA
Education for VP, Advisory
Typically a job would require a certain level of education.
Employers hiring for the VP, advisory job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Finance, Business, Economics, Accounting, MBA, Law, Management, Engineering, Financial Services, Computer Science
Skills for VP, Advisory
Desired skills for VP, advisory include:
Application and operating system security risks
Network
Debuggers
Decompilers
Most common Application Security vulnerabilities –
OWASP Top 10 and cloud security gaps
Proxies
Scanners
Simulators
Clinical practice guidelines for care management services
Desired experience for VP, advisory includes:
Identify, track and action, as necessary, new relevant rules and regulations or changes to existing regulations
Support regulatory compliance colleagues in responding to various regulatory requests and examinations
Contribute to the firms’ compliance risk assessment process
Provide advice on application of rules and policies to specific transactions and general business activities based on an understanding of business strategies and product portfolios
Advise on relevant business and Compliance procedures
The creation and implementation of policies and procedures to promote compliance with legal and regulatory requirements
VP, Advisory Examples
1
VP, Advisory Job Description
Job Description Example
Our company is looking for a VP, advisory. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for VP, advisory
- Together with other stakeholders, advise the business on the implementation of key regulatory changes
- Monitoring the activities of the business covered in co-operation with other control functions, including desk and thematic reviews
- Assist in providing appropriate training in co-operation with the Compliance Training Department
- Handle routine regulatory reviews and inquiries, and communicating with exchanges and regulatory bodies as required
- Participate in ad-hoc projects on a regular basis
- Create Management Information for senior Compliance and business management
- Build relations with the relevant business and management
- Escalating transactions and issues to line manager where appropriate
- Undertaking compliance briefings for new members of Cash staff in a timely fashion in line with Key Ops
- Keeping Cash appraised of likely regulatory developments which could impact their activities
Qualifications for VP, advisory
- Representing Markets Compliance at relevant industry associations as agreed with line manager
- Provide support and input to co-ordination of activities relating to the governance of our Cayman hedge funds
- Proven track record in building global working relationships and influencing change
- Experience in reporting, analytics, and metric development
- Strong communication skills (both oral and written) with all levels of management required
- Minimum of 4 years work experience within Credit Risk or a similar role
2
VP, Advisory Job Description
Job Description Example
Our company is growing rapidly and is hiring for a VP, advisory. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for VP, advisory
- Providing comprehensive compliance and regulatory advice on PB compliance issues
- Assisting management in resolving compliance issues
- Formulating and implementing compliance control
- In alignment with the global fixed income compliance program, implement and maintain a cohesive, risk-based compliance program
- Maintain and enhance, as required, policies, procedures and processes regarding a variety of regulatory and reputational matters including investment allocation, handling of material non-public information and managing of conflicts of interests
- Advise the business on their day-to-day operations their strategic initiatives
- Advise on regulatory reform and implementation
- Provide input to regular reporting and communication on Compliance matters to key stakeholders
- Advise on applicable rules and regulations and coordinate regulatory relationships and inquiries
- Interact closely with counterparts in EMEA and the US to develop policies and procedures in order to comply with the regulatory requirements
Qualifications for VP, advisory
- Approximately 8 - 12 years of experience with a track record of professional success in the financial industry in a rating related role, capital markets, fixed income research, risk management or other related functions
- Good client skills, and the ability to efficiently interact with senior management
- Strong sense of commercial matters applied to financing and rating activities
- Flexibility and ability to operate in a fast-paced team environment
- Solid organizational skills with good attention to detail
- Fluency in other European language is desirable
3
VP, Advisory Job Description
Job Description Example
Our growing company is looking to fill the role of VP, advisory. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for VP, advisory
- Collaborate with large groups of cross-divisional resources to advance the business’ objectives including Institutional Sales, Field Lenders, Marketing, Operations, Technology, Controllers, Treasury, Credit, Legal, and Compliance
- Lead the detailed design, testing, launch, and promotion of new and enhanced products and services
- Perform market and competitive analysis to determine and support key strategic choices
- Construct analyses and models to help understand, analyze, and control the business’ profitability and growth on a going forward basis
- Assist in the set up of the compliance framework
- Keeping abreast of any regulatory changes for the clients
- On site compliance monitoring reviews
- Compiling compliance manuals, policies/procedures
- Conducting training on any new regulatory changes
- Assist in the development, coordination and implementation of the AML training and testing programmes for the firm
Qualifications for VP, advisory
- Deep understanding of rating agency methodologies, processes and models
- Written and spoken fluency in English, Cantonese and Mandarin
- Good understanding of the US federal securities laws and derivative rules a plus
- Work closely reporting directly Head of FICC Compliance and with senior Front Office managers
- Advise business regarding compliance on Global Markets/FICC
- Establish and maintain strong relationships with regulatory bodies including FSA and handle inspecitions
4
VP, Advisory Job Description
Job Description Example
Our growing company is looking to fill the role of VP, advisory. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for VP, advisory
- Lead, coach and motivate the Advisory Services team, ensuring understanding of the company vision and values, utilization and revenue targets, ensuring maximum teamwork and co-operation with all areas and divisions of the company and the highest level of service provision
- Identify opportunities and provide customised FX solutions for Private Bank clients
- Explore and develop appropriate products to meet client’s investment objectives through professional and effective communication of the currency view
- Strategic partner to Relationship Managers and be actively involved in developing and maintaining private banking client relationships
- Partner other departments to provide specialised support to Relationship Managers in handling complex accounts
- Work with Gobal Financial Markets (GFM) and other counter parties to package appropriate FX related products for the clients in accordance to the legal and compliance requirements/guidelinesConduct trainings to equip partners with the relevant technical skills for the marketing, sales and after-sales service
- Represent team and lead in inter/ intra department projects such as process improvement initiatives
- The ongoing development of the financial crime capability in their designated business area, including second line oversight of key risk indicators
- Be an accountable sign off point for Financial Crime on all new processes and products which are driven through the New Product Approval process
- Interact with group and other relevant parties in the establishment of AML policies, including the interpretation of such policies for the Personal Banking & Mortgages business
Qualifications for VP, advisory
- Basic PC skills in Microsoft (Word, Excel, Powerpoint)
- Excellent interpersonal and communication skills, with the ability to work well in a team across different stakeholders
- Comfortable interfacing with senior managers, internal clients and internal / external regulators
- At least 8-10 years of relevant experience in a Legal, Compliance/Regulatory or Product Management role in an asset management capacity
- Knowledge of OCC regulatory requirements relating to fiduciary activities is preferred but not mandatory
- An individual who is motivated and able to work independently
5
VP, Advisory Job Description
Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of VP, advisory. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for VP, advisory
- Requests for exceptions and dispensations to AML Policies that fall within group guidelines
- Lead product development and management activities to ensure high levels of product competitiveness and differentiation
- Directly engage in sales and relationship activities as senior leader, including educational webinars, presentations at industry conferences, and client pitches
- Carry out the duties required of MUS(HK)’s Compliance Officer with responsibility for the oversight of MUS(HK)’s compliance with the relevant rules regulations including Anti Money Laundering Regulations
- Asses, identify and mitigate the firms regulatory risks in conducting its business cross border jurisdictions
- Ensure that the firm maintains the necessary licenses, authorities and/or policies and procedures to conduct cross border business in compliance with local laws or regulation
- Advise Compliance Head of Asia and line units, on all matters relating to compliance
- Serve as the point of contact for supervisory authorities
- Take appropriate action and reporting in accordance with internal procedures on the occurrence of a breach of laws or regulations
- Report to the Compliance Head of Asia in respect of all aspect of compliance oversight and money laundering prevention responsibilities
Qualifications for VP, advisory
- Ownership of NPA/NTA reviews and sign-offs for any new products and/or transactions requiring the support of the Collateral Management group
- Build and maintain strong working relationships with our Clients, Regulators, Auditors, internal business partners and industry counterparts to facilitate superior levels of service supporting our US based model
- Become a thought-leader in how to engineer and implement new offerings or adhere to new regulatory marketplace demand
- Oversight over Initial Margin segregation, Product reference data services, Vendor Risk Management including oversight of Near and Offshore New Business teams
- Provide oversight and coordination during market volatility
- Work on change Book of Work initiatives for continuous enhancement of the internal DB systems like dbCAMM, dbREX Review and approve BRDs for all Collateral system enhancements, coordinate testing where needed or enable the testing thru various RTB teams within collateral