At a Glance
- Tasks: Provide compliance advice and support to Capital Markets business areas.
- Company: A leading City-based bank with a focus on regulatory compliance.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Other info: Opportunity to work closely with front office stakeholders and enhance compliance frameworks.
- 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.
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
- 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)
VP - Capital Markets Compliance Advisory in London employer: MW Recruitment Limited
As a leading City-based bank, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee growth and development. Our commitment to providing comprehensive compliance advisory support within the Capital Markets sector not only empowers our team members to thrive in their roles but also ensures they are integral to shaping the future of our business. With a focus on collaboration and innovation, we offer unique opportunities for professional advancement while maintaining a strong emphasis on work-life balance and employee well-being.
StudySmarter Expert Advice🤫
We think this is how you could land VP - Capital Markets Compliance Advisory in London
✨Tip Number 1
Network like a pro! Reach out to your connections in the Capital Markets space and let them know you're on the lookout for opportunities. A friendly chat can lead to insider info about roles that might not even be advertised yet.
✨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, as well as how they impact compliance in Capital Markets. We want you to shine!
✨Tip Number 3
Showcase your advisory skills! During interviews, share examples of how you've provided practical compliance advice in previous roles. Highlight your ability to balance commercial objectives with regulatory expectations – that's what they're looking for!
✨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 job!
We think you need these skills to ace VP - Capital Markets Compliance Advisory in London
Some tips for your application 🫡
Tailor Your CV:Make sure your CV speaks directly to the role of VP - Capital Markets Compliance Advisory. Highlight your experience in compliance advisory within 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 seeing your personality come through, so don’t hold back!
Showcase Your Stakeholder Management Skills:In this role, you'll be liaising with front office personnel and other stakeholders. Make sure to highlight your experience in managing relationships and providing clear, pragmatic guidance. We want to know how you balance commercial objectives with regulatory expectations!
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’re considered for the role. Plus, it gives you a chance to explore more about our company culture and values!
How to prepare for a job interview at MW Recruitment Limited
✨Know Your Regulations
Make sure you brush up on key regulations like MiFID II, MAR, and SMCR. Being able to discuss these confidently will show that you understand the compliance landscape and can provide practical guidance to the business.
✨Showcase Your Advisory Skills
Prepare examples of how you've successfully provided compliance advice in previous roles. Highlight your ability to translate complex regulations into actionable steps for front office stakeholders, as this is crucial for the role.
✨Demonstrate Stakeholder Management
Think of instances where you've effectively engaged with front office personnel or other stakeholders. Be ready to discuss how you balanced commercial objectives with regulatory expectations while maintaining strong relationships.
✨Be Ready to Challenge Constructively
Prepare to discuss how you've reviewed and challenged existing controls in past roles. Show that you can identify gaps in compliance frameworks and support remediation efforts without stepping on toes.
