AVP, (ECM & M&A) Compliance Advisory

£450 - £484 per annum



AVP - Compliance Advisory

Overall Purpose of Role

The ECM & M&A Compliance team within Banking provides Compliance advisory support to the ECM, M&A Advisory, Corporate Broking, Private Capital Markets and Equity Syndicate teams in EME as well as to certain sector/country teams within Banking.

Key Accountabilities

  • Providing compliance coverage of Equity Capital Markets (ECM), Equity Syndicate, Corporate Broking and M&A
  • Participating in initiatives in support of the firm’s conduct and risk management agenda e.g. CRA, RCSA, cross border etc.
  • Supporting the provision of effective second line ‘check and challenge ‘to assist Banking in meeting its conduct and regulatory obligations including devising and conducting verification checks for the Equity Syndicate and Banking
  • Supporting on the delivery of advice on regulatory requirements including but not limited to: the FCA Handbook, MAR, and MiFID.
  • Advising on firm policies and procedures
  • Assisting in the Development of policies and guidance to assist Banking to understand and comply with its conduct and regulatory obligations
  • Assisting in the development and delivery of training
  • Assisting Compliance support in the interpretation and implementation of new regulation
  • Participating in Compliance projects and initiatives
  • Assisting the ECM & M&A Compliance team in maintaining strong partnerships with business / other infrastructure areas

Risk and Control Objective
Ensure that all activities and duties are carried out in full compliance with regulatory requirements, Enterprise Wide Risk Management Framework and internal Policies and Policy Standards.
Essential Skills/Basic Qualifications:

  • Experience (of at least 2 years) in an AVP or comparable role gained as part of a Private Side Advisory Compliance team either covering ECM/M&A or within a Compliance Control Room.
  • Strong verbal and written communication; good interpersonal, influencing, and negotiating skills and commercial awareness
  • Product knowledge and knowledge of Compliance touch-points regarding the coverage area (ECM/M&A) gained as part of Private Side Advisory Compliance or Compliance Control Room team
  • Strong team player

o Ability to identify potential conduct issues, to contribute effectively to develop strategies to mitigate risk and to escalate as appropriate

  • Consistently demonstrate behaviour in line with the Company Values and the ability to act as a culture carrier and role model for others in the team, leading by example
  • Independent ability to check and challenge and escalate when appropriate Desirable skills/Preferred Qualifications:
    • A UK qualification/degree would be an advantage
    • Some understanding of the UK/EU regulatory environment and relevant regulation including subject matter expertise in relation to: the Market Abuse Regulation, MIFiD and the FCA Handbook would be an advantage
    • Resilience to change, ability to deal with conflict, adaptability
McGregor Boyall is an equal opportunity employer and do not discriminate on any grounds.

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