At a Glance
- Tasks: Provide compliance advice and support to Capital Markets stakeholders while enhancing control frameworks.
- Company: A dynamic City-based bank focused on regulatory compliance in Capital Markets.
- Benefits: Competitive salary, professional development opportunities, and a collaborative work environment.
- Other info: Opportunity to work closely with front office teams and drive impactful compliance initiatives.
- Why this job: Join a key role that balances commercial goals with regulatory expectations in a fast-paced setting.
- 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
- 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 employer: MW Recruitment Limited
As a leading City-based bank, we pride ourselves on fostering a dynamic and inclusive work culture that empowers our employees to thrive. In the role of VP - Capital Markets Compliance Advisory, you will benefit from comprehensive professional development opportunities, a collaborative environment, and the chance to make a tangible impact on regulatory compliance within a fast-paced capital markets setting. Join us to be part of a team that values innovation, integrity, and the growth of its people.
StudySmarter Expert Advice🤫
We think this is how you could land VP - Capital Markets Compliance Advisory
✨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. We all know that sometimes it’s not just what you know, but who you know!
✨Tip Number 2
Prepare for those interviews by brushing up on your regulatory knowledge. Make sure you can discuss key regulations like MiFID II and MAR confidently. We want you to show that you’re not just familiar with the rules, but that you can apply them practically in a business context.
✨Tip Number 3
When you get the chance to meet potential employers, ask insightful questions about their compliance frameworks. This shows you’re genuinely interested and have done your homework. Plus, it gives you a chance to demonstrate your understanding of the role and how you can add value.
✨Tip Number 4
Don’t forget to apply through our website! We’ve got loads of opportunities that might just be the perfect fit for you. Plus, applying directly helps us see your enthusiasm and commitment to joining our team in the Capital Markets Compliance space.
We think you need these skills to ace VP - Capital Markets Compliance Advisory
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 our needs!
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. Be sure to mention your strong stakeholder management skills and how you can balance commercial objectives with regulatory expectations. We love a good story!
Showcase Your Regulatory Knowledge:In your application, don’t forget to demonstrate your understanding of UK/EU regulations like MiFID II and MAR. We’re looking for someone who can interpret complex regulations and provide clear guidance, so make sure to highlight any relevant experiences.
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’s super easy – just a few clicks and you’re done!
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 regulatory requirements into actionable steps for front office stakeholders.
✨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.
