Compliance Advisory Associate

  • Job Reference: 12633
  • Date Posted: 24 May 2019
  • Recruiter: Carr Lyons
  • Location: London
  • Salary: On Application
  • Sector: Compliance
  • Job Type: Permanent
  • Work Hours: Full Time
  • Contact: Duncan Jeffery
  • Email:

Job Description


My client are a leading Investment Bank with offices around the world. They operate in the ECM and DCM arena and provide various financial services including M&A, merchant banking and credit products.


Provide support within the Compliance function in its wide range of activities; working as part of a small team, focusing on providing Advisory Compliance support to the Capital Markets business in Europe.

  • Provide pro-active & reactive guidance to the Capital Markets business 
  • Assisting the business in identifying and managing emerging regulatory risks 
  • Undertake, support and participate (as required and with appropriate guidance and support) Compliance Monitoring and Testing activities
  • Track and follow up actions identified as a result of the Monitoring & Testing review work
  • Review & assess results of the Global risk assessment process & provide input for the Capital Markets Europe business
  • Input into regional & global MI reports / dashboards
  • Creation & delivery of training materials to Capital Markets on ‘hot topics’ / new regulation
  • Supporting Compliance driven projects and delivering on items of the Compliance Roadmap
  • Supporting other Compliance teams on certain processes (i.e. surveillance) to ensure adequate cross coverage when others are absent from the office


  • Previous experience working in an Advisory Compliance role 
  • Product knowledge; one or some of - Cash Equities, Equity Derivatives, Structured Products, Rates, FX, Precious Metals
  • Good communication skills
  • Self-starter and strong team player

Duncan Jeffery 020 3794 4432