At a Glance
- Tasks: Provide compliance advice and support to Capital Markets, ensuring regulatory obligations are met.
- Company: Dynamic City-based bank with a focus on compliance and regulatory excellence.
- Benefits: Competitive salary, professional development opportunities, and a collaborative work environment.
- Other info: Opportunity to work closely with front office and enhance compliance frameworks.
- Why this job: Join a key role in shaping compliance strategies and making a real impact in the financial sector.
- Qualifications: Strong experience in Compliance Advisory within Capital Markets and excellent 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 Slough 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 excel in their roles and make a meaningful impact in the Capital Markets sector.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Advisory - VP in Slough
✨Tip Number 1
Network like a pro! Get out there and connect with folks in the Capital Markets space. Attend industry events, join relevant LinkedIn groups, and don’t be shy about reaching out to people for a chat. You never know who might have the inside scoop on job openings!
✨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 aligns with the role, so practice articulating your thoughts clearly.
✨Tip Number 3
When you get that interview, remember to ask insightful questions! This shows you're genuinely interested in the role and the company. Think about what you want to know regarding their compliance frameworks or how they handle regulatory changes.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who are proactive and engaged with our platform. Let’s get you that Compliance Advisory role!
We think you need these skills to ace Compliance Advisory - VP in Slough
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 passionate about compliance and how you can add value to our team. Be sure to mention specific experiences that relate to the key responsibilities outlined in the job description.
Showcase Your Stakeholder Management Skills:In your application, emphasise your ability to engage with front office personnel and maintain strong working relationships. We love candidates who can balance commercial objectives with regulatory expectations, so share examples of how you've done this in the past!
Apply Through Our Website:We encourage you to apply through our website for a smoother process. It helps us keep track of your application and ensures you don’t miss out on any important updates. Plus, it shows you're keen on joining our team at StudySmarter!
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 and MAR. Being able to discuss these confidently will show that you understand the compliance landscape and can provide practical guidance to the front office.
✨Showcase Your Advisory Skills
Prepare examples of how you've successfully interpreted complex regulations in previous roles. Highlight your ability to translate these into actionable advice for business stakeholders, as this is crucial for the role.
✨Engage with Stakeholders
Think about how you can demonstrate your strong stakeholder management skills. Be ready to discuss how you've built relationships with front office personnel and how you’ve balanced commercial objectives with regulatory expectations.
✨Prepare for Scenario Questions
Expect questions that ask you to identify gaps in compliance frameworks or suggest improvements. Practise articulating your thought process clearly, as this will showcase your problem-solving abilities and your proactive approach to compliance.
