MW Recruitment Limited
Compliance Advisory - VP
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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
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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
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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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