Investment Banking Compliance – Advisory (DCM)
Posted 2 days ago by Investigo
Negotiable
Undetermined
Undetermined
London Area, United Kingdom
Summary: This role involves providing senior compliance advisory support to investment banking businesses, focusing on M&A, Debt Capital Markets, and risk solutions. The position requires collaboration with front-office and control functions to manage regulatory risks and ensure compliance with UK and EU regulations. The candidate will be responsible for overseeing transactions and advising on compliance-related matters.
Key Responsibilities:
- Provide day-to-day compliance advisory support to M&A, DCM, leveraged finance, risk solutions and related advisory teams.
- Identify, assess and challenge compliance and conduct risks across transactions, products and business activities.
- Review and advise on deal structures, wall-crossing, conflicts, disclosures and marketing materials.
- Monitor and test compliance frameworks, policies and controls, escalating issues where appropriate.
- Investigate potential market abuse, regulatory breaches or conduct risk events and oversee remediation.
- Partner with Legal, Risk, Financial Crime and other control functions to deliver integrated compliance oversight.
Key Skills:
- Proven experience in investment banking compliance, or equivalent senior experience within a law firm or legal function covering capital markets or advisory work.
- Strong knowledge of UK and EU regulatory frameworks, including Market Abuse Regulation, MiFID II and conduct standards.
- Experience advising front-office teams in a fast-paced, transaction-driven environment.
- Ability to exercise sound judgment, provide credible challenge and manage senior stakeholders effectively.
- Strong analytical skills with the ability to assess complex transactions and regulatory issues.
- Relevant degree required; professional qualifications in compliance, law or a related discipline are advantageous.
Salary (Rate): undetermined
City: London Area
Country: United Kingdom
Working Arrangements: undetermined
IR35 Status: undetermined
Seniority Level: undetermined
Industry: Other
This role provides senior compliance advisory support to investment banking businesses, including M&A, Debt Capital Markets and risk solutions. The position partners closely with front-office and control functions to identify regulatory risk, oversee transactions, and ensure compliance with UK and EU regulatory requirements across advisory and capital markets activities.
Key Responsibilities
- Provide day-to-day compliance advisory support to M&A, DCM, leveraged finance, risk solutions and related advisory teams.
- Identify, assess and challenge compliance and conduct risks across transactions, products and business activities.
- Review and advise on deal structures, wall-crossing, conflicts, disclosures and marketing materials.
- Monitor and test compliance frameworks, policies and controls, escalating issues where appropriate.
- Investigate potential market abuse, regulatory breaches or conduct risk events and oversee remediation.
- Partner with Legal, Risk, Financial Crime and other control functions to deliver integrated compliance oversight.
Key Requirements
- Proven experience in investment banking compliance, or equivalent senior experience within a law firm or legal function covering capital markets or advisory work.
- Strong knowledge of UK and EU regulatory frameworks, including Market Abuse Regulation, MiFID II and conduct standards.
- Experience advising front-office teams in a fast-paced, transaction-driven environment.
- Ability to exercise sound judgment, provide credible challenge and manage senior stakeholders effectively.
- Strong analytical skills with the ability to assess complex transactions and regulatory issues.
- Relevant degree required; professional qualifications in compliance, law or a related discipline are advantageous.