Experienced compliance professional with deep expertise in equity capital markets, M&A, and debt advisory. Supporting a boutique investment bank is seeking an Interim Compliance Advisor to provide hands-on guidance to deal teams, strengthen governance frameworks, and ensure the firm's advisory and transactional activities meet the highest regulatory standards.
What you'll be doing:
* Be the first point of contact for compliance queries across ECM, M&A, and debt advisory deals.
* Advise on regulatory matters including conflicts of interest, market abuse, insider lists, deal wall management, client categorisation, inducements, market soundings, and research distribution.
* Support transaction committees and execution processes with practical compliance input.
* Review and update compliance manuals and procedures to align with regulation and best practice.
* Provide targeted training to front-office teams, embedding a culture of strong conduct.
* Stay ahead of FCA regulatory developments, advising senior leadership on their impact.
What we're looking for:
* Significant compliance experience within an investment bank, advisory firm, or other regulated environment.
* A proven track record of compliance advisory support in ECM, M&A, and debt advisory.
* Strong knowledge of FCA rules and relevant frameworks for corporate finance and advisory services.
* Expertise in managing market conduct risks, conflicts, disclosure obligations, and governance processes.
* Excellent communication skills with the credibility to influence senior management and deal teams.
This is an initial 3-6 month contracting opportunity based in St. Paul's and requires the individual to be in the office a minimum 4-days a week. Up to £650p/d depending on experience.