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- Tasks: Advise on compliance, manage regulatory risks, and enhance the compliance framework.
- Company: Join a growing investment bank with a collaborative culture and high-performing teams.
- Benefits: Enjoy hybrid work options, competitive salaries, and opportunities for professional growth.
- Why this job: Make a real impact in a dynamic environment while working closely with senior stakeholders.
- Qualifications: 10+ years for VP or 5+ years for Associate in Compliance, preferably in investment banking.
- Other info: Ideal for those who thrive in a close-knit team and enjoy variety in their work.
The predicted salary is between 48000 - 88000 £ per year.
We’re working with a growing investment bank to hire two key Compliance Advisory professionals to join a high-performing, collaborative second line team. These roles offer a unique opportunity to work closely with senior stakeholders, gain exposure to a broad range of products, and contribute meaningfully to the firm’s regulatory risk management and control framework.
Open Roles:
- VP – Compliance Advisory (c. 10+ years’ experience) Up to £110,000 Base
- Associate – Compliance Advisory (c. 5+ years’ experience) Up to £80,000 Base
As part of a small, agile compliance function, you’ll be central to advising on regulatory obligations, challenging business conduct, and enhancing the compliance framework in line with the firm’s growth and strategy. You’ll collaborate closely with Front Office, Risk, Surveillance, and other 2LOD/3LOD teams, with coverage across Equities, Fixed Income, Convertible Bonds, and Capital Markets.
Key Responsibilities (both roles):
- Deliver timely, pragmatic compliance advice to Front Office and Support Functions.
- Provide guidance on new business initiatives, regulatory obligations, and policy implementation.
- Support and/or lead regulatory risk assessments, deep dives, and investigations.
- Contribute to horizon scanning and regulatory change assessments.
- Assist with the development and upkeep of compliance policies, procedures, and training materials.
- Collaborate with internal teams during audits, regulatory visits, and information requests.
- Build trusted relationships with business stakeholders across the firm.
- Drive a culture of compliance, challenge, and conduct risk awareness.
Experience & Requirements:
- 10+ years’ experience in Compliance, with at least 5 years in an Advisory capacity within investment banking.
- Strong technical understanding of products: Equities, Fixed Income, Convertible Bonds, and Capital Markets.
- In-depth knowledge of UK regulations including UK MiFID, MAR, and COBS.
- Experience working with internal control frameworks and risk assessment methodologies.
- Excellent stakeholder management skills and sound commercial judgement.
- Proven ability to manage complex issues independently and take initiative.
For Associate Level (Mid-Level):
- 5+ years’ Compliance experience, including 2+ in an Advisory role.
- Knowledge of investment banking products and relevant regulatory obligations.
- Strong communication skills with a collaborative, delivery-focused approach.
- Eagerness to learn and take ownership within a lean, engaged team.
- University degree or equivalent.
- CISI qualifications (preferred but not essential).
These are ideal roles for professionals who enjoy variety, visibility, and working in a close-knit environment where your impact is tangible.
Compliance Advisor employer: JR United Kingdom
Contact Detail:
JR United Kingdom Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Advisor
✨Tip Number 1
Network with professionals in the investment banking sector, especially those in compliance roles. Attend industry events or webinars to connect with potential colleagues and learn about their experiences. This can give you insights into the company culture and expectations.
✨Tip Number 2
Stay updated on the latest regulatory changes and compliance trends relevant to investment banking. Subscribe to industry newsletters or follow key influencers on social media. Demonstrating your knowledge during interviews can set you apart from other candidates.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully navigated compliance challenges in previous roles. Use the STAR method (Situation, Task, Action, Result) to structure your responses, showcasing your problem-solving skills and ability to work under pressure.
✨Tip Number 4
Familiarise yourself with the company's values and recent developments. Tailor your conversations during networking or interviews to reflect how your experience aligns with their goals. This shows genuine interest and helps build rapport with interviewers.
We think you need these skills to ace Compliance Advisor
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in compliance advisory roles, particularly within investment banking. Emphasise your understanding of UK regulations and any specific products you've worked with, such as Equities or Fixed Income.
Craft a Compelling Cover Letter: Write a cover letter that showcases your passion for compliance and your ability to provide pragmatic advice. Mention specific examples of how you've successfully navigated regulatory challenges in previous roles.
Highlight Stakeholder Management Skills: In your application, emphasise your experience in managing relationships with senior stakeholders. Provide examples of how you've built trust and collaborated effectively with different teams.
Showcase Continuous Learning: Mention any ongoing professional development, such as CISI qualifications or relevant training. This demonstrates your commitment to staying updated on regulatory changes and best practices in compliance.
How to prepare for a job interview at JR United Kingdom
✨Know Your Regulations
Make sure you have a solid understanding of UK regulations such as MiFID, MAR, and COBS. Be prepared to discuss how these regulations impact compliance advisory roles and how you've navigated them in your previous positions.
✨Showcase Your Stakeholder Management Skills
Since building trusted relationships with business stakeholders is crucial, come ready with examples of how you've successfully managed complex stakeholder interactions in the past. Highlight your communication style and how it fosters collaboration.
✨Demonstrate Your Technical Knowledge
Be prepared to discuss your technical understanding of investment banking products like Equities, Fixed Income, and Capital Markets. This will show that you can provide pragmatic compliance advice tailored to specific business needs.
✨Emphasise Your Problem-Solving Abilities
In compliance advisory roles, you'll often face complex issues. Share examples of how you've independently managed such challenges, showcasing your initiative and sound commercial judgement in your decision-making process.
