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.