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 compliance and regulatory excellence.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Other info: Opportunity to work closely with front office stakeholders and enhance compliance controls.
- Why this job: Join a pivotal role in shaping compliance strategies within a fast-paced financial sector.
- Qualifications: Experience in Compliance Advisory and strong understanding of regulatory frameworks required.
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 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.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Advisory - VP in London
✨Tip Number 1
Network like a pro! Get out there and connect with folks in the Capital Markets space. Attend industry events, join relevant online forums, and don’t be shy about reaching out on LinkedIn. The more people you know, the better your chances of landing that Compliance Advisory role.
✨Tip Number 2
Prepare for those interviews by brushing up on your regulatory knowledge. Make sure you can confidently discuss UK/EU regulations like MiFID II and MAR. We want you to show off your expertise and how it can benefit the bank’s compliance framework.
✨Tip Number 3
Practice your stakeholder management skills! Role-play scenarios where you need to balance commercial objectives with regulatory expectations. This will help you demonstrate your ability to act as a trusted advisor during interviews.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive and engaged with our platform. Let’s get you that Compliance Advisory position!
We think you need these skills to ace Compliance Advisory - VP in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV speaks directly to the Compliance Advisory role. Highlight your experience in Capital Markets and any relevant regulatory frameworks you've worked with. We want to see how your background aligns with what we're looking for!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Share specific examples of how you've provided compliance advice or supported remediation initiatives in the past. We love a good story!
Showcase Your Stakeholder Management Skills:In your application, emphasise your ability to engage with front office personnel and maintain strong relationships. We value candidates who can balance commercial objectives with regulatory expectations, so make sure to highlight those experiences!
Apply Through Our Website:We encourage you to apply directly through our website. It’s the best way for us to receive your application and ensures you don’t miss out on any important updates. Plus, we love seeing applications come in through our own channels!
How to prepare for a job interview at MW Recruitment Limited
✨Know Your Regulations
Make sure you brush up on the key regulations relevant to Capital Markets, like MiFID II and MAR. Being able to discuss these confidently will show that you understand the landscape and can provide practical compliance advice.
✨Showcase Your Stakeholder Skills
Prepare examples of how you've successfully engaged with front office personnel in the past. Highlight your ability to balance commercial objectives with regulatory expectations, as this is crucial for the role.
✨Be Ready to Challenge
Think about instances where you've had to review and challenge existing controls. Be prepared to discuss how you approached these situations constructively while maintaining strong relationships with stakeholders.
✨Demonstrate Practical Guidance
Prepare to explain how you've translated complex regulatory requirements into clear, actionable guidance for business areas. This will illustrate your ability to act as a trusted advisor and support compliance frameworks effectively.
