Compliance Advisor

JR United Kingdom; Watford; Hybrid; GBP 80,000 - 110,000; Full time

Job summary

A growing investment bank in Watford seeks Compliance Advisors at VP and Associate levels. These roles focus on regulatory risk management and compliance framework enhancement. Candidates should have relevant experience in investment banking and strong stakeholder management skills. This is an opportunity to work collaboratively in a dynamic environment.

Qualifications

• 10+ years' compliance experience for VP role.
• 5+ years' compliance experience for Associate role.
• Strong technical understanding of investment banking products.

Responsibilities

• Deliver compliance advice to Front Office and Support Functions.
• Support regulatory risk assessments and investigations.
• Build trusted relationships with business stakeholders.

Skills

Stakeholder management

Regulatory knowledge

Risk assessment

Compliance advisory

Education

University degree or equivalent

CISI qualifications

Job description

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Compliance Advisor, watford, hertfordshire

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Client:

ETRA Talent

Location:

watford, hertfordshire, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

3

Posted:

06.06.2025

Expiry Date:

21.07.2025

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Job Description:

Compliance Advisory Roles (VP & Associate) | Investment Banking | London (Hybrid)

We’re working with a growing investment bank to hire two key Compliance Advisory professionals to join a high-performing, collaborative second line team. These roles offer a unique opportunity to work closely with senior stakeholders, gain exposure to a broad range of products, and contribute meaningfully to the firm’s regulatory risk management and control framework.

Open Roles:

? VP – Compliance Advisory (c. 10+ years’ experience) Up to £110,000 Base

? Associate – Compliance Advisory (c. 5+ years’ experience) Up to £80,000 Base

As part of a small, agile compliance function, you’ll be central to advising on regulatory obligations, challenging business conduct, and enhancing the compliance framework in line with the firm’s growth and strategy. You’ll collaborate closely with Front Office, Risk, Surveillance, and other 2LOD/3LOD teams, with coverage across Equities, Fixed Income, Convertible Bonds, and Capital Markets.

Key Responsibilities (both roles):

• Deliver timely, pragmatic compliance advice to Front Office and Support Functions.
• Provide guidance on new business initiatives, regulatory obligations, and policy implementation.
• Support and/or lead regulatory risk assessments, deep dives, and investigations.
• Contribute to horizon scanning and regulatory change assessments.
• Assist with the development and upkeep of compliance policies, procedures, and training materials.
• Collaborate with internal teams during audits, regulatory visits, and information requests.
• Build trusted relationships with business stakeholders across the firm.
• Drive a culture of compliance, challenge, and conduct risk awareness.

Experience & Requirements:

• 10+ years’ experience in Compliance, with at least 5 years in an Advisory capacity within investment banking.
• Strong technical understanding of products: Equities, Fixed Income, Convertible Bonds, and Capital Markets.
• In-depth knowledge of UK regulations including UK MiFID, MAR, and COBS.
• Experience working with internal control frameworks and risk assessment methodologies.
• Excellent stakeholder management skills and sound commercial judgement.
• Proven ability to manage complex issues independently and take initiative.

For Associate Level (Mid-Level):

• 5+ years’ Compliance experience, including 2+ in an Advisory role.
• Knowledge of investment banking products and relevant regulatory obligations.
• Strong communication skills with a collaborative, delivery-focused approach.
• Eagerness to learn and take ownership within a lean, engaged team.
• University degree or equivalent.
• CISI qualifications (preferred but not essential).

These are ideal roles for professionals who enjoy variety, visibility, and working in a close-knit environment where your impact is tangible.