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- Tasks: Join a dynamic team providing compliance advice in investment banking.
- Company: A leading global investment bank with a collaborative culture.
- Benefits: Enjoy competitive pay, professional development, and a supportive work environment.
- Why this job: Make an impact by ensuring regulatory compliance while supporting innovative business initiatives.
- Qualifications: Experience in compliance roles; strong understanding of UK regulations required.
- Other info: Two positions available: Associate and VP level, ideal for ambitious professionals.
The predicted salary is between 48000 - 84000 £ per year.
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.
- 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.
Compliance Advisory – Investment Banking (2 Roles Available – Associate & VP level) employer: Job Traffic
Contact Detail:
Job Traffic Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Advisory – Investment Banking (2 Roles Available – Associate & VP level)
✨Tip Number 1
Network with professionals in the investment banking sector, especially those working in compliance. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance advisory.
✨Tip Number 2
Familiarise yourself with the specific regulations mentioned in the job description, such as MiFID II and MAR. Being able to discuss these regulations confidently during interviews will demonstrate your expertise and commitment to the role.
✨Tip Number 3
Prepare to showcase your experience in stakeholder management. Think of examples where you've successfully navigated complex relationships and delivered compliance advice that enabled business initiatives while meeting regulatory standards.
✨Tip Number 4
Research the company culture and values of the global investment bank you're applying to. Tailor your conversations during interviews to reflect how your collaborative mindset aligns with their team-oriented approach.
We think you need these skills to ace Compliance Advisory – Investment Banking (2 Roles Available – Associate & VP level)
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance and investment banking. Emphasise your understanding of UK regulations like MiFID II and COBS, and showcase any advisory roles you've held.
Craft a Compelling Cover Letter: Write a cover letter that specifically addresses the key responsibilities mentioned in the job description. Explain how your background aligns with the needs of the role and demonstrate your passion for compliance advisory.
Highlight Relevant Skills: In your application, focus on skills such as stakeholder management, regulatory knowledge, and your ability to conduct risk assessments. Use specific examples to illustrate these skills in action.
Proofread Your Application: Before submitting, carefully proofread your application for any spelling or grammatical errors. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Job Traffic
✨Know Your Regulations
Make sure you have a solid understanding of UK regulations such as MiFID II, COBS, and MAR. Be prepared to discuss how these regulations impact the investment banking sector and provide examples of how you've applied this knowledge in your previous roles.
✨Showcase Your Advisory Experience
Whether you're applying for the Associate or VP role, highlight your experience in compliance advisory. Prepare specific examples of how you've provided practical compliance advice and supported business initiatives while ensuring regulatory standards are met.
✨Demonstrate Stakeholder Management Skills
Strong stakeholder management is crucial for these roles. Be ready to discuss how you've built relationships across different teams and how you've effectively communicated compliance requirements to non-compliance professionals.
✨Prepare for Scenario-Based Questions
Expect scenario-based questions that assess your problem-solving skills and ability to handle compliance challenges. Think about past experiences where you had to conduct risk assessments or lead compliance reviews, and be ready to explain your thought process.
