At a Glance
- Tasks: Provide compliance advice and support to Capital Markets, ensuring regulatory obligations are met.
- Company: A leading City bank with a focus on Capital Markets.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Other info: Opportunity to work closely with front office and enhance compliance frameworks.
- Why this job: Join a pivotal role in shaping compliance strategies and making a real impact.
- Qualifications: Experience in Compliance Advisory within Capital Markets and strong stakeholder management skills.
The predicted salary is between 80000 - 100000 £ per year.
A City based bank is seeking a Regulatory Compliance Advisory Officer to join as 1st Line of Defence (1LoD) within a Capital Markets environment. This role sits close to the business, providing practical, forward-looking compliance advice to front office stakeholders while supporting a broader remediation and controls uplift programme. You will act as a key point of contact on regulatory interpretation, ensuring obligations are clearly understood, appropriately implemented, and supported by robust evidence of compliance.
Key Responsibilities
- Provide day-to-day compliance advisory support to Capital Markets business areas
- Interpret and translate regulatory requirements into practical, business-facing guidance
- Support the identification, documentation, and mapping of regulatory obligations
- Review and challenge existing controls and effectiveness assessments from a 1LoD perspective
- Partner with the business to enhance control design and implementation
- Identify gaps in compliance frameworks and support targeted remediation activity
- Ensure regulatory obligations are supported by clear rationale and auditable evidence
- Act as a trusted advisor to front office, balancing commercial objectives with regulatory expectations
- Liaise closely with 2LoD Compliance to ensure alignment on interpretation and approach
Skills & Experience
- Strong experience in Compliance Advisory within Capital Markets / CIB
- Proven track record operating in a business-aligned (1LoD or advisory-focused) role
- Solid understanding of global markets products and associated regulatory frameworks
- Ability to interpret complex regulation and provide clear, pragmatic guidance
- Experience in controls, obligations mapping, or remediation programmes
- Strong stakeholder management skills, with confidence engaging front office personnel
- Ability to challenge constructively while maintaining strong working relationships
Desirable
- Experience supporting regulatory change or remediation initiatives
- Familiarity with UK/EU regulations (e.g. MiFID II, MAR, SMCR)
- Background in markets trading, structuring, or sales (or close alignment)
Compliance Advisory - VP in City of London employer: MW Recruitment Limited
As a leading City-based bank, we pride ourselves on fostering a dynamic and inclusive work environment that empowers our employees to thrive. Our Compliance Advisory team plays a crucial role in ensuring regulatory adherence while supporting the business's commercial objectives, offering ample opportunities for professional growth and development. With a strong emphasis on collaboration and innovation, we provide our employees with the tools and resources they need to succeed in a fast-paced Capital Markets setting.
