RSS export of vacancies - Only featured vacancies : No / Profession : Front Office, Risk & Control

000194 - Compliance Advisory Officer

Thu, 17 Sep 2026 12:37:26 Z

Contract type : Full Time
Vacancy details :
This is a key role within a small, agile team that supports the business in managing regulatory compliance risks and ensuring a strong control framework is in place. The Compliance Advisory team are part of the firm’s second line of defence within the Compliance function whose objectives are: 1) advising the front office on their regulatory obligations so that they can execute the business strategy and activities in accordance with the applicable regulatory framework covering Equities, Fixed Income, Convertible Bonds and Capital Markets; 2) providing challenge in relation to business activities and individual conduct; and 3) undertake and/or support compliance reviews, risk assessments and investigations, in conjunction with the Compliance Monitoring and Surveillance and Control Room teams. Compliance Advisory are key to supporting the Head of Compliance and the Chief Risk and Compliance Officer (CRCO) as an SMF 16 in ensuring that the compliance framework is fit for purpose, proportionate and aligned to DCME's strategy. · Provide timely and accurate compliance and regulatory advice to DCME Front Office covering Equities, Fixed Income, Convertible Bonds and Capital Markets, and Support Functions to support the firm's strategic objectives. · Provide Compliance advisory support to the Compliance Advisory Team Lead, Head of Compliance and/or the wider DCME Compliance team and other 2LOD /3LOD support functions as required. · Ensure that regulatory and compliance considerations are appropriately assessed and implemented for any new / changes to business activity. · Keep abreast of current and upcoming regulatory developments and interpret and implement regulatory change. · Contribute to regulatory horizon scanning, lessons- learned and read-across exercises and prepare briefing notes and gap analysis for senior stakeholders. · Develop, maintain and adapt appropriate regulatory compliance management frameworks which are aligned to the DCME’s risk profile. · Develop and maintain Compliance policies and procedures, ensuring that any changes are communicated to stakeholders and accompanied by appropriate training where required. · Perform regulatory deep dives/compliance risk assessments to support the delivery of the Compliance Plan. · Support internal and/or external audits and responses to regulatory information requests and regulatory visits/examinations. · Undertake and/or support compliance investigations, in conjunction with the Compliance Monitoring & Surveillance team and Control Room. · Develop and foster strong working relationships with the front office and other key stakeholders in support functions and across the firm. · Produce and deliver compliance (including Conduct risk) training.

· 10 years + Compliance experience (minimum of 5 years Compliance Advisory) within investment banking. · Strong understanding of Equities, Fixed Income, Convertible Bonds and Capital Markets, including related regulatory requirements. · Strong knowledge of FCA regulatory framework including UK MiFID, COBS and MAR. · Ability to interpret and apply complex regulatory requirements. · Familiarity with risk assessment methodologies and internal control frameworks. · Excellent communication and interpersonal skills, with the capability to engage and influence stakeholders at all levels within and outside the organization. · Pragmatic and collaborative in your approach, you will relish being part of a small, open, and communicative team whilst taking ownership of and managing your own work, and that of your team, to a high standard. · An innovative self-starter who is comfortable working independently, prioritising multiple demands, and contributing to team-wide initiatives. · University Degree or equivalent · CISI related certificate/ qualifications desirable but not mandatory
Advertised Location : EC4N 7AX

000191 - Corporate Access Associate

Thu, 13 Aug 2026 14:18:51 Z

Contract type : Full Time
Vacancy details :
To provide Investor Relations (IR) and Corporate Access services to Daiwa's corporate and institutional clients, combining client-facing responsibilities with bilingual operational support to deliver successful engagement between listed companies and investors. Organizing Investor–Company Engagements: Event Planning & Execution - Arrange Non-deal Roadshows (NDRs), Virtual & In-person Meetings, Investor Conferences & Seminars, Logistic arrange support for IR activities Relationship Management: Bridging Cultural & Communication Gaps - Help Japanese companies expand visibility with European institution investors. Arrange Professional interpreters, Pre-meeting briefing notes, Post-meeting feedback summaries Collaboration: Work closely with - Sales team to help and support Japanese corporates identify and meet high-potential investors, Global Corporate Access team & Investment banking coverage teams to build relationship with the companies Regulatory Compliance: Monitor and manage Regulatory risks, ensuring adherence to Regulatory requirements and the firm’s own risk framework.

Native or professional business-level fluency in both Japanese and English (written and spoken). 3-5+ years of professional experience in finance, corporate access, investor relations, operations, or project coordination. Strong understanding of Japanese business culture and corporate protocol. Proficient in Microsoft Office applications, particularly Excel, PowerPoint, and Outlook; experience with Salesforce, Oracle, and other CRM or business systems is desirable. Excellent organisational, time management, and multitasking skills. Resilient and able to work effectively under pressure while managing competing priorities and tight deadlines. Strong numerical and analytical skills, with a high level of accuracy and attention to detail. Excellent relationship management, communication, and stakeholder engagement skills. Proactive, adaptable, and client-focused with a collaborative approach to work. Full, unrestricted right to live and work in the United Kingdom. Bachelor's degree or equivalent qualification and/or relevant professional experience.
Advertised Location : EC4N 7AX

000188 - Financial Crime Analyst

Thu, 25 Jun 2026 08:57:50 Z

Contract type : Full Time
Vacancy details :
This is a unique opportunity for a proactive and experienced Analyst to join our Financial Crime Compliance Team. This is a crucial role in supporting the business in managing financial crime risks and ensuring a strong control framework is in place. The role holder will have direct exposure to senior leadership and decision-making and broad exposure across the full spectrum of financial crime risk. Support the 2LOD oversight of financial crime risks (AML, sanctions, fraud, ABC, CTF, tax evasion) across the firm; Provide timely and accurate advice to the business and support functions on a range of financial crime topics; Assist in the development, maintenance and periodic review of financial crime policies and procedures; Ensure documentation remains aligned with UK regulatory requirements (e.g. MLRs, sanctions regulations, FCA expectations); Conduct independent quality assurance (QA) reviews of OGS alerts and CDD/KYC files; Support financial crime risk assessments; Build effective working relationships across the 1LOD and 2LOD; Support thematic reviews and regulatory-driven initiatives; Support regulatory deliverables, reviews and internal/external audits; Assist with the implementation of regulatory changes and internal projects impacting financial crime compliance; Contribute to the continuous improvement of the firm's FCC framework.

Proven experience in financial crime compliance within a financial institution; Strong knowledge of relevant UK and global regulations, including AML, sanctions and KYC requirements; Analytical mindset and attention to detail; Ability to work independently in a small, high-performing team; Clear written and verbal communication skills suitable for senior stakeholders; Strong sense of ownership and accountability; Pragmatic and commercially aware; Ability to handle multiple priorities in a fast-paced environment. University Degree or equivalent; Relevant qualifications (e.g. ICA, ACAMS) or working towards one.
Advertised Location : EC4N 7AX