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
1. Relevant...