Debt Capital Markets Compliance Advisory - Director

Debt Capital Markets - Compliance Advisory

Your new company
A global firm headquartered in London is currently expanding their Compliance Advisory team. This is a key hire for the business as they look to recruit a Director in Compliance to advise the Debt Capital Markets team. In this role you will be acting as deputy to the Head of the Capital Markets team.  

Your new role

  • Acting as a trusted, senior adviser to the Private side business by helping the bankers to understand and take ownership of Compliance & Conduct risks, ensuring that risks are being appropriately identified, assessed and mitigated
  • Providing expert advice and challenge to the Private side bankers on the identification and management of conflicts of interest and information flows
  • Providing up to date guidance on existing standards and regulations that impact the private side business, including advising on any upstream changes to ensure timely implementation into firms procedures
  • Drafting and updating policies and procedures relevant to the private side
  • Ensuring compliance and regulatory risks are addressed appropriately in all working groups where Compliance is represented
  • Providing training to the capital markets team on relevant regulatory and policy topics
  • Recording escalation and approval by the relevant local or functional Risk Committee where divergences in standards are identified
  • Supporting the wider Compliance and Conduct team in business wide initiatives

What you'll need to succeed
  • You should have deep practical knowledge and experience of regulatory requirements impacting a private side business, including MifiD/Conduct of Business requirements, gained in a global investment bank in a private side role. 
  • You should have a very good understanding of Capital Markets from the origination to the distribution stage and all the related regulatory and compliance issues. 
  • DCM, LCM, Private Side Structuring and Private Side Solutions, M&A and IBD/C&A experience gained in a compliance or legal capacity is very much relevant and will be considered in the application process. 
  • It is also essential that you gained exposure to cross-jurisdictional regulatory issues affecting Capital Markets and Derivatives. 

What you'll get in return
In return, they offer a competitive salary plus a benefit funding programme that can be tailored to suit your individual needs. In addition, they provide a wide selection of exclusive lifestyle offers, development and learning programmes, services and support designed to help you manage and balance your work/life priorities.

What you need to do now
If you're interested in this role, click 'apply now' to forward an up-to-date copy of your CV, or call us now.
If this job isn't quite right for you but you are looking for a new position, please contact us for a confidential discussion on your career.


Job type:
Banking & Financial Services
Banking and Capital Markets
£90,000 - £130,000
Apply Now

Talk to a consultant

Talk to Joshua Simpson, the specialist consultant managing this position, located in London City

107 Cheapside, London, EC2V 6DN

Telephone: 020 3465 0110
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