Compliance Advisory – VP

A City based bank is seeking a Regulatory Compliance Advisory Officer to join as 1st Line of Defence (1LoD) within a Capital Markets environment.

This role sits close to the business, providing practical, forward-looking compliance advice to front office stakeholders while supporting a broader remediation and controls uplift programme. You will act as a key point of contact on regulatory interpretation, ensuring obligations are clearly understood, appropriately implemented, and supported by robust evidence of compliance.

Key Responsibilities

• Provide day-to-day compliance advisory support to Capital Markets business areas
• Interpret and translate regulatory requirements into practical, business-facing guidance
• Support the identification, documentation, and mapping of regulatory obligations
• Review and challenge existing controls and effectiveness assessments from a 1LoD perspective
• Partner with the business to enhance control design and implementation
• Identify gaps in compliance frameworks and support targeted remediation activity
• Ensure regulatory obligations are supported by clear rationale and auditable evidence
• Act as a trusted advisor to front office, balancing commercial objectives with regulatory expectations
• Liaise closely with 2LoD Compliance to ensure alignment on interpretation and approach

Skills & Experience

• Strong experience in Compliance Advisory within Capital Markets / CIB
• Proven track record operating in a business-aligned (1LoD or advisory-focused) role
• Solid understanding of global markets products and associated regulatory frameworks
• Ability to interpret complex regulation and provide clear, pragmatic guidance
• Experience in controls, obligations mapping, or remediation programmes
• Strong stakeholder management skills, with confidence engaging front office personnel
• Ability to challenge constructively while maintaining strong working relationships

Desirable

• Experience supporting regulatory change or remediation initiatives
• Familiarity with UK/EU regulations (e.g. MiFID II, MAR, SMCR)
• Background in markets trading, structuring, or sales (or close alignment)

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