Junior Compliance Advisory

  • Location:

    London, England

  • Sector:


  • Job type:


  • Salary:

    £40000 - £55000 per annum

  • Contact:

    Matthew Pollard

  • Job ref:


  • Published:

    8 months ago

  • Expiry date:


  • Startdate:


Junior Compliance Advisory - Private side compliance

Job description

  • Part of the private side compliance advisory team
  • Providing challenge, oversight and technical advice to ensure the business acts in compliance with all relevant local legislation, regulation and firm's policy standards
  • Primary business areas under coverage will include Origination and Structuring (DCM).


  • Assisting with the formulation of advice and guidance for the business
  • Handling queries from the bankers and escalating the most complex queries to the seniors in the team
  • Researching legal and regulatory topics relevant to your business coverage area
  • Providing training to the business on relevant regulatory / policy topics
  • Assisting the Origination & Structuring Compliance team with the identification of key regulatory and compliance risks, conflicts of interest and issues around information flows and barriers, ensuring that the related risks are being appropriately assessed and mitigated
  • Assisting with the implementation of new regulations affecting Origination & Structuring
  • Assisting with the drafting and updating of policies and procedures
  • Liaising with the other control functions such as Legal and Global Control Group/Room as and when required
  • Participating in working groups and fora as requested to ensure Compliance representation

Your Experience and Skills

  • Looking for Regulatory Compliance or Legal experience within Investment Banking
  • Demonstrate an ability to work in a fast-paced environment
  • Showcase the Ability to get up to speed with new regulations quickly

Evidence strong interpersonal skills and also the ability to interact with senior stakeholders


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