DCM Compliance Advisory

Job description

We are seeking an experienced Compliance Advisory professional to join our Investment Banking Clients Compliance team, focusing on Debt Capital Markets. The successful candidate will play a critical role in advising the DCM business on regulatory and compliance matters, helping to ensure that all activities are conducted in line with applicable laws, regulations, and internal policies.

This is a highly visible position requiring strong product knowledge, sound judgment, and the ability to partner closely with deal teams, legal, control functions, and regulators when necessary.

Key Responsibilities

• Act as an Advisor to the DCM desks
• Provide real-time, deal-specific compliance guidance to bankers 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, recordkeeping, and escalation processes are followed
• Participate in new product and transaction approval processes (including committee review)
• Maintain and enhance policies, procedures, and training related to DCM activities
• Lead or support regulatory inquiries, audits, and internal investigations relating to DCM business
• Monitor and assess regulatory developments impacting primary equity markets, and proactively advise the business on compliance implications
• Collaborate with global Compliance colleagues to ensure consistency and share best practices across regions

Required Skills & Experience

• Relevant compliance experience within DCM, Investment Banking, or Capital Markets at a major bank or financial institution
• Deep knowledge of DCM products, transaction structures, and relevant regulatory frameworks (e.g., MAR, MiFID II)
• Experience advising on conflicts management, inside information handling, and wall-crossing protocols

Preferred Qualifications

• Degree in Law, Finance, Business, or related discipline
• Prior experience working on cross-border DCM deals

Extra information

Status

Open

Education Level

Secondary School

Location

City of London

Type of Contract

Casual / Part Time Jobs

Published at

26-12-2025

Full UK/EU driving license preferred

No

Car Preferred

No

Must be eligible to work in the EU

No

Cover Letter Required

No

Languages

English