Compliance Advisory – Investment Banking (2 Roles Available – Associate & VP level)

JR United Kingdom; Slough; On-site; GBP 60,000 - 130,000; Full time

Job summary

A leading global investment bank is seeking experienced Compliance Advisory professionals for Associate and VP levels to join its Slough team. These vital positions will support the front-office business lines, ensuring compliance with UK regulations and fostering relationships across various teams. Candidates should have relevant experience and a deep understanding of investment banking compliance.

Qualifications

• 10+ years' experience in Compliance for VP role.
• 5+ years' Compliance experience for Associate role.
• Strong understanding of UK regulations (MiFID II, COBS, MAR).

Responsibilities

• Provide compliance advice to front-office functions.
• Conduct regulatory horizon scanning and gap analysis.
• Support compliance reviews and training.

Skills

Compliance Advisory

Stakeholder Management

Regulatory Knowledge

Job description

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Compliance Advisory – Investment Banking (2 Roles Available – Associate & VP level), slough

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Client:

RAW Search

Location:

slough, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

3

Posted:

31.05.2025

Expiry Date:

15.07.2025

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Job Description:

A global investment bank is hiring two Compliance Advisory professionals to join its London-based team. These are key positions within a small, collaborative advisory function supporting front-office business lines across Equities, Fixed Income, Convertible Bonds, and Capital Markets.

The team operates as part of the second line of defence, working closely with trading and support teams to ensure regulatory obligations are met while enabling commercial activity. You’ll be involved in day-to-day advisory, regulatory change, risk assessments, policy development, and training.

Key Responsibilities:

• Provide timely, practical compliance advice to front-office and support functions.
• Ensure new business initiatives and product changes meet regulatory standards.
• Conduct regulatory horizon scanning, gap analysis, and contribute to internal policy frameworks.
• Support or lead compliance reviews, investigations, and regulatory visits.
• Build strong relationships across the business and deliver training on regulatory topics.

What They’re Looking For:

VP Role:

• 10+ years' experience in Compliance, with at least 5 years in a front-office advisory capacity.
• Deep understanding of UK regulations (MiFID II, COBS, MAR) and investment banking products.
• Strong stakeholder management and ability to take ownership across a broad remit.

Associate Role:

• 5+ years' Compliance experience, with at least 2 years in an advisory role.
• Exposure to trading floor environments and a working knowledge of relevant regulations.
• A collaborative, pragmatic mindset and willingness to learn and grow within a high-performing team.