Compliance Advisor

New Today

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 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 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

Apply
Location:
City Of London
Job Type:
FullTime
Category:
Business

We found some similar jobs based on your search