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