Are you a seasoned Compliance professional looking to step into a high-impact, front-office aligned role? We’re partnering with an Investment Banking firm in London Branch to hire a Business & Functions Compliance Officer to support key Banking business lines and act as a trusted advisor to senior stakeholders.
This is a high-visibility role sitting at the intersection of Compliance and the Business — ideal for someone who enjoys influencing, partnering, and driving best-in-class regulatory standards in a dynamic environment.
The Role
As a senior member of the Business & Functions Compliance team, you will act as the lead Compliance contact for designated Banking business areas. You’ll play a pivotal role in shaping and delivering the local compliance framework, aligned with global strategy.
You’ll work closely with senior management, front office teams, and Head Office Compliance, ensuring consistent application of regulatory standards across jurisdictions.
Policies & Regulatory Framework
- Develop, enhance, and maintain compliance policies and procedures aligned to UK regulatory requirements and global standards
- Partner with Regulatory teams to ensure an effective regulatory watch framework
- Contribute to global policy development across Banking businesses
Advisory & Business Partnering
- Act as a trusted advisor to front office and senior stakeholders
- Provide timely, pragmatic compliance guidance on regulatory requirements and best practice
- Support new product/business initiatives with risk assessments and regulatory input
- Coordinate responses to regulatory enquiries
Training & Awareness
- Design and deliver targeted compliance training programmes
- Drive awareness campaigns to ensure strong regulatory understanding across the business
- Support and enhance the Compliance Monitoring Programme
- Conduct annual Compliance Risk Assessments
- Participate in risk‑based business reviews and track remediation actions
- Oversee conflicts of interest management alongside Control Room teams
- Support SMCR, FCA registration, and Conduct‑related matters
- Escalate key risks and breaches appropriately
Reporting & Stakeholder Management
- Produce meaningful management information and reporting
- Build strong relationships with global compliance teams and Head Office
- Ensure consistency of compliance standards across jurisdictions