ECM Compliance Advisory in City of London

Job description

We are seeking an experienced VP-level Compliance Advisory professional to join our Investment Banking Compliance team, focusing on Equity Capital Markets (ECM). The successful candidate will play a critical role in advising the ECM 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 the primary Compliance Advisor to the ECM and syndicate desks (including IPOs, rights issues, block trades, and secondary offerings)
• Provide real-time, deal-specific compliance guidance to bankers and syndicate personnel 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 ECM activities
• Lead or support regulatory inquiries, audits, and internal investigations relating to ECM 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 ECM, Investment Banking, or Capital Markets at a major bank or financial institution
• Deep knowledge of ECM products, transaction structures, and relevant regulatory frameworks (e.g., MAR, MiFID II, UK Listing Rules, SEC/FINRA rules if cross-border)
• Experience advising on conflicts management, inside information handling, and wall-crossing protocols
• Strong interpersonal and communication skills, with the ability to influence and challenge senior stakeholders
• Ability to operate under pressure, manage multiple time-sensitive priorities, and make decisions in a fast-paced environment
• Detail-oriented with strong analytical, organizational, and problem-solving skills
• Legal, compliance, or regulatory background preferred (law degree, regulatory body experience, etc.)

Preferred Qualifications

• Degree in Law, Finance, Business, or related discipline
• Prior experience working on cross-border ECM deals
• Familiarity with market soundings, stabilization rules, and capital markets conduct standards
• Understanding of regulatory technology (RegTech) solutions and compliance monitoring tools

Extra information

Status

Open

Education Level

Secondary School

Location

City of London

Type of Contract

Part-time jobs

Published at

11-09-2025

Full UK/EU driving license preferred

No

Car Preferred

No

Must be eligible to work in the EU

No

Cover Letter Required

No

Languages

English