Director, Head of Capital Markets Compliance – Europe


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About the role:

Key Responsibilities:

  • Oversee regulatory compliance for UK and European Capital Markets businesses.
  • Lead Capital Markets Advisory Compliance function and act as primary compliance contact.
  • Develop, implement, and maintain compliance policies and procedures.
  • Partner with key stakeholders and consider the bank’s risk appetite in activities.
  • Stay updated on UK and European regulations, support compliance team.
  • Inform Capital Markets management on regulatory developments and impacts.
  • Interact with regulators, trading venues, industry associations.
  • Create/maintain compliance policies reflecting regulations.
  • Assess extra-territorial regulatory requirements for the region.
  • Lead Capital Markets Compliance Advisory function.
  • Provide compliance advice to business and support functions.
  • Support senior management on compliance issues.
  • Facilitate compliance surveillance and reviews.
  • Identify, assess, and remediate operational risks.


  • 10+ years of compliance experience in a financial institution
  • Capital Markets product knowledge will be essential
  • Knowledge of UK and European regulatory requirements relating to Fixed Income, FX markets, Equity and Commodities Markets
  • Advanced knowledge and understanding of securities/banking rules, regulations, by-laws, policies and procedures

If you are interested in learning more about this exciting opportunity then please apply!

In our company values we aim for equity at all stages of the recruitment process, please let us know if we can do anything to make the process more accessible to you.

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