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Full timeFinance

Private Side Compliance Advisory - Contract - Investigo

InvestigoLondon🇬🇧United Kingdom

Why this role stands out

This contract role offers a fantastic opportunity to provide high-level compliance advisory support to key investment banking divisions, allowing you to shape regulatory risk management and gain exposure to complex transactions. You'll thrive here if you possess strong regulatory knowledge and enjoy partnering with front-office teams in a dynamic, hybrid environment. Apply today to leverage your expertise and contribute to a leading financial firm.

Quick overview

SeniorityMid Senior
Employment typeFull Time
Work modeHybrid
LocationLondon, United Kingdom
M&A

Job description

This role provides senior compliance advisory support to investment banking businesses, including M&A, Debt Capital Markets and risk solutions. The position partners closely with front-office and control functions to identify regulatory risk, oversee transactions, and ensure compliance with UK and EU regulatory requirements across advisory and capital markets activities.

Key Responsibilities

  • Provide day-to-day compliance advisory support to M&A, DCM, leveraged finance, risk solutions and related advisory teams.
  • Identify, assess and challenge compliance and conduct risks across transactions, products and business activities.
  • Review and advise on deal structures, wall-crossing, conflicts, disclosures and marketing materials.
  • Monitor and test compliance frameworks, policies and controls, escalating issues where appropriate.
  • Investigate potential market abuse, regulatory breaches or conduct risk events and oversee remediation.
  • Partner with Legal, Risk, Financial Crime and other control functions to deliver integrated compliance oversight.

Key Requirements

  • Proven experience in investment banking compliance, or equivalent senior experience within a law firm or legal function covering capital markets or advisory work.
  • Strong knowledge of UK and EU regulatory frameworks, including Market Abuse Regulation, MiFID II and conduct standards.
  • Experience advising front-office teams in a fast-paced, transaction-driven environment.
  • Ability to exercise sound judgment, provide credible challenge and manage senior stakeholders effectively.
  • Strong analytical skills with the ability to assess complex transactions and regulatory issues.
  • Relevant degree required; professional qualifications in compliance, law or a related discipline are advantageous.

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