Compliance Advisor

5 days ago

Greater London, United Kingdom Black Swan Group Full time

Job Description Compliance Advisory - Mat Cover (9-12 months) Investment Banking London, UK We are seeking an experienced Compliance Advisory professional to join a leading Investment Banking Compliance team, focusing on Private Side. The successful candidate will play a critical role in advising the business on regulatory and compliance matters, helping to ensure that all activities are conducted in line with applicable laws, regulations, and internal policies. Key Responsibilities Act as the primary Compliance Advisor to the private side (including ECM, DCM, Leveraged Finance, Fixed Income etc.) Provide real-time, deal-specific compliance guidance to bankers and syndicate personnel throughout the transaction lifecycle Advise on regulatory obligations including MAR, UKLA / ESMA requirements, FCA / PRA / SEC rules, and internal policies (e.g., Information Barriers, conflicts management, wall-crossing protocols) Review deal documentation for compliance risks and ensure proper disclosures, record keeping, and escalation processes are followed Maintain and enhance policies, procedures, and training related to DCM activities Required Skills & Experience Releva... #J-18808-Ljbffr

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