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Compliance Advisory Opportunity to work for Top Tier Investment Banking Institution.

Role Details:

• To operate within the [Origination and Financing] Compliance team providing day-to-day advice and compliance support to the EMEA Structured Capital Markets (SCM) business.


• Provide support to Structured Capital Markets (SCM) to ensure compliance with applicable rules and regulations, specifically regarding broker-dealer and banking issues.


• Mitigate regulatory and reputational risk by providing on-going advice regarding complicated multi-entity transactions.


• Organize and track multi-jurisdictional transaction activity to allow team to proactively manage risks.


• Interface with other Compliance teams to provide proper coverage depending on product area.


• Assist with creating supervisory infrastructure to help SCM managers better understand how to supervise their businesses, which may include surveillance development.


• Assist Global colleagues with cross-border transactions.


• Conduct training on relevant regulatory matters.

Skill Set Required:

• Degree level academics.


• Proven background working in a Compliance Department/SRO/Legal experience, specifically for Equities, Derivatives, or Tax


• Demonstrated interpersonal and communication skills that will enable you to interact effectively with business and compliance personnel at all levels of the firm.


• Strong team player.


• Strong compliance advisory background.

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