Compliance Advisory – Investment Banking (2 Roles Available – Associate & VP level)

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Compliance Advisory – Investment Banking (2 Roles Available – Associate & VP level), London

Client:

RAW Search

Location:

London, United Kingdom

Job Category:

Other

EU work permit required:

Yes

Job Views:

1

Posted:

25.05.2025

Expiry Date:

09.07.2025

Job Description:

A global investment bank is hiring two Compliance Advisory professionals to join its London-based team. These are key positions within a small, collaborative advisory function supporting front-office business lines across Equities, Fixed Income, Convertible Bonds, and Capital Markets.

The team operates as part of the second line of defence, working closely with trading and support teams to ensure regulatory obligations are met while enabling commercial activity. You’ll be involved in day-to-day advisory, regulatory change, risk assessments, policy development, and training.

Key Responsibilities:

• Provide timely, practical compliance advice to front-office and support functions.
• Ensure new business initiatives and product changes meet regulatory standards.
• Conduct regulatory horizon scanning, gap analysis, and contribute to internal policy frameworks.
• Support or lead compliance reviews, investigations, and regulatory visits.
• Build strong relationships across the business and deliver training on regulatory topics.

What They’re Looking For:

VP Role:

• 10+ years\’ experience in Compliance, with at least 5 years in a front-office advisory capacity.
• Deep understanding of UK regulations (MiFID II, COBS, MAR) and investment banking products.
• Strong stakeholder management and ability to take ownership across a broad remit.

Associate Role:

• 5+ years\’ Compliance experience, with at least 2 years in an advisory role.
• Exposure to trading floor environments and a working knowledge of relevant regulations.
• A collaborative, pragmatic mindset and willingness to learn and grow within a high-performing team.

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