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Job Description

Compliance Advisory - Mat Cover (12 months)

Investment Banking

London, UK

We are seeking an experienced Compliance Advisory professional to join a leading Investment Banking Compliance team, focusing on Private Side.

The successful candidate will play a critical role in advising the 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 private side (including ECM, DCM, Leveraged Finance, Fixed Income etc.) 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 DCM activities

Required Skills & Experience

Relevant compliance advisory experience within private side at a renowned investment bank. Deep knowledge of DCM 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 (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 DCM 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

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