Compliance Officer - Investment Banking - £65k-£80k

  • £65k+
  • London, England, United Kingdom
  • Permanent, Full time
  • Holmes Search
  • 13 Nov 18

Our client is looking for a compliance generalist to join their corporate finance firm. This is a broad compliance role covering: - Compliance advisory - Central Compliance - AML Compliance - Client On-boarding - Compliance Monitoring Ideally you will have a law background and investment banking experience is essential.

Our client is a leading advisory-focussed global independent investment bank that provides innovative strategic advice and solutions to a diverse client base, including corporations, governments and financial sponsors. The Firm assists its clients in achieving their strategic goals by offering comprehensive integrated financial advisory services across all major industry sectors. They advise clients on their most critical decisions, including mergers and acquisitions, recapitalizations and restructurings, capital markets transactions, and other corporate finance matters.


Role Overview

London-based position as sole dedicated Compliance Officer within a team of 4, required to assist with a broad and general range of regulatory and compliance matters within EMEA and APAC. The successful candidate will be graduate calibre and must have good all-round compliance experience gained within a financial services firm, preferably within investment banking. The role with cover jurisdictions such as UK, Dubai, France, Germany, India, Hong Kong and China, and will report directly to the EMEA and APAC General Counsel.



  • Compliance advisory: fielding day-to-day queries from the business and advising staff on their ongoing regulatory obligations, including in a transactional context, in new and existing jurisdictions.
  • Day to day compliance processes: for example, dealing with personal account trades, insider list management, gifts and entertainment registers, breaches registers, assisting in control room/ watch and restricted list management.
  • AML compliance: assisting the General Counsel to ensure compliance with relevant AML and MLRO obligations including being the key day to day Compliance contact overseeing the KYC work of Moelis’ Client Onboarding and Business Selection Team.
  • Compliance monitoring: acting as the Compliance lead in the conduct of external compliance monitoring reviews.
  • New staff compliance on-boarding: running the compliance induction process for all new staff, including relevant regulatory applications and dealing with relevant compliance documentation.
  • Compliance training: executing, delivering and overseeing a comprehensive compliance training and competence programme, both for new and existing staff.
  • Regulatory reporting: periodic regulatory reporting.
  • Policy work: updating existing compliance policies and implementing new Compliance policies to reflect the evolving shape of the business and regulatory change.



  • Risk identification: identifying emerging risks from the business and assessing the impact on regulatory compliance risk and on the monitoring programme and amending such as required.
  • Regulatory developments: keeping up to date with regulatory developments in various jurisdictions and assessing the impact that they will have on regulatory risk in various businesses or activities; advising the business accordingly and implementing changes to policies and processes where necessary.
  • Business development support: supporting the considerable business growth of the firm by assisting in the provision of compliance advice and oversight, and the setting up of regulatory and compliance frameworks, for new jurisdictions where new business presence established.
  • Regulatory inspections: preparing for and managing regulatory inspections.
  • Project work: undertaking project work as directed by the General Counsel, and working in conjunction with Global L&C team on global project work



  • 4 - 5 years’ experience (Associate level)
  • Previous experience within financial services (preferably investment banking)
  • Communication and analytical skills
  • Attention to detail and accuracy
  • Ability to build strong working relationships and support functions globally
  • Commercially aware
  • Self-motivated and a self-starter
  • Flexible and adaptable
  • Language skills helpful but not essential



  • Educated to degree level
  • Law degree / Qualified lawyer desirable