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Compliance Advisory – ECM, M&A, and Corporate Finance

We are a leading financial institution providing expert advisory services across Equity Capital Markets (ECM), M&A, and Corporate Finance. Our Compliance Advisory team plays a pivotal role in ensuring regulatory excellence and supporting strategic business activities. We are seeking an experienced Compliance professional to join our London team and provide specialized guidance in a dynamic, fast-paced environment.

Role Overview
As a Compliance Advisor, you will be instrumental in advising the business on regulatory matters related to ECM, M&A, and Corporate Finance activities. This is a key role for a motivated professional with in-depth regulatory knowledge and a commitment to fostering a robust compliance culture.

Key Responsibilities:

Provide expert compliance advice to ECM, M&A, and Corporate Finance teams, ensuring adherence to UK and EU regulatory frameworks.
Conduct thorough reviews of transaction documentation and marketing materials to ensure regulatory compliance.
Monitor and assess regulatory developments, providing actionable insights to business teams.
Support the management of regulatory risk through the implementation of effective policies and procedures.
Deliver training and guidance to business teams on compliance best practices and regulatory updates.
Collaborate with senior stakeholders to provide input on strategic initiatives and compliance implications.
Assist in preparing reports for regulators and internal governance committees.

Requirements:

Extensive experience in compliance within ECM, M&A, or Corporate Finance, preferably in a leading financial institution or advisory firm.
Strong knowledge of UK and EU regulatory frameworks, including MAR, MiFID II, and Prospectus Regulation.
Exceptional analytical and problem-solving skills, with a detail-oriented approach.
Excellent communication and interpersonal skills, with the ability to influence and advise senior stakeholders.
Proven ability to work effectively in a fast-paced, high-pressure environment.
Relevant compliance or legal qualifications are advantageous.

What We Offer:

Competitive salary and performance-based bonuses.
Opportunities to work on high-profile transactions and regulatory initiatives.
A collaborative and inclusive workplace culture that values innovation and excellence.
Continuous professional development to support your career growth.

Application Process:
If you are a compliance professional with expertise in ECM, M&A, or Corporate Finance, we would love to hear from you. Apply now to join a team dedicated to maintaining the highest regulatory standards in the financial services industry.

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