DCM Compliance Advisory

Black Swan Group; England; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading investment banking firm is seeking an experienced Compliance Advisory professional to join their team focusing on Debt Capital Markets. The successful candidate will provide compliance guidance to deal teams and advise on regulatory obligations. Ideal candidates must have relevant compliance experience, a deep understanding of DCM products, and strong judgment skills. This role is critical for ensuring activities align with legal and internal policies.

Qualifications

• Relevant compliance experience within DCM or Investment Banking.
• Deep knowledge of DCM products and relevant regulations.
• Experience with conflicts management and wall-crossing protocols.

Responsibilities

• Act as an advisor to the DCM desks.
• Provide compliance guidance throughout the transaction lifecycle.
• Review deal documentation for compliance risks.

Skills

Compliance experience in DCM

Knowledge of regulatory frameworks

Advising on conflicts management

Education

Degree in Law, Finance, or Business

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