Compliance Advisory
£90000 - £100000 + Bonus + Benefits


Growing London banking group, part of one of the world's largest banks by assets, has a new role within their Legal & Compliance Advisory department. The position reports to the Head of Advisory. The compliance department provides services within both corporate banking, capital markets and investment banking. However the primary focus of the role will be providing proactive advisory services to the corporate banking area and occasional services to the investment banking and capital markets areas.


  • Undergraduate degree or equivalent experience and
  • Currently working at either AVP OR VP level equivalent and
  • Experience of thematic reviews appertaining to banking and
  • A good understanding of key PRA/ FCA rules, key UK and EU regulations (MiFID II; MAR; EMIR) and Money Laundering Regulations and;
  • Basic knowledge of the types of products traded by corporate banks and their features and.
  • Demonstrable awareness of current regulations/ regulatory developments and their application to the Bank's business.

Ideally as well:

  • Previous advisory experience
  • Proven ability to collaborate and communicate effectively (written and oral) with stakeholders of differing levels of seniority.
  • An understanding of operational controls within the overall internal control structure of corporate/ investment banks.
  • Proven ability to manage own time and meet deadlines, problem solve, innovate and support change and work independently and within a team.


In this role, you will develop good knowledge and understanding of the regulations applicable to the Bank's business and the regulatory environment in which the Bank operates. Your role will include:

  • Identifying, understanding and implementing applicable rules and regulations, in the business and ensuring that the Bank has appropriate policies, procedures and controls in
  • Identifying regulatory trends and developments, advise the business on how these may impact their current activities and work with them to implement policy and control changes required.
  • You help create, implement and also maintain Compliance-owned policies.
  • The role provides a proactive compliance advisory service to the Corporate banking business, with support from the wider compliance team.
  • You will work closely with other Compliance colleagues and the business management on regulatory implementation projects and review of new products.
  • You will play a key role in managing compliance risk by identifying problems and potential weaknesses in the Bank's activities, conduct or controls, escalating these to management and developing recommendations.
  • You will assist with performing compliance risk assessments and developing and executing the Compliance Monitoring This may include performing trade and/or communications related analysis and assisting with any internal enquiries or investigations which may result.
  • You will perform reviews of compliance with specific regulations, and assist with due diligence, investigations or audits as directed by the senior Legal & Compliance