Compliance Supervision - Capital Markets

We are seeking an experienced compliance supervision professional to join a leading banking organisation in London, supporting its Global Markets and Capital Markets businesses.

This is an opportunity for a risk and controls specialist to play a key role in strengthening the regulatory control environment across trading activities. You will lead regulatory risk assessments, oversee first-line monitoring and testing, and drive the effective management and remediation of compliance issues.

Working closely with Front Office, Compliance, Risk, Audit and senior management, you will provide practical, risk-based advice, challenge existing practices and help ensure the business operates within an effective and well-governed control framework. You will also contribute to regulatory change initiatives and continuous improvement across the global business.

Key Responsibilities

Regulatory Risk Assessment & Oversight

• Lead and enhance regulatory risk assessments across Capital Markets activities, evaluating inherent and residual risks associated with trading products, strategies and business processes.
• Monitor regulatory developments, including FCA, PRA and MiFID II requirements, assessing their impact on the business and identifying areas requiring action.
• Translate risk assessments into clear, actionable insights and recommendations for senior leadership and governance committees.

Monitoring & Testing – First Line of Defence

• Design, implement and oversee risk-based monitoring and testing programmes across Global Markets.
• Assess the design and effectiveness of controls across front-to-back business processes.
• Identify control weaknesses, challenge existing arrangements and recommend proportionate, sustainable enhancements.
• Ensure monitoring and testing activities are appropriately documented, with clear evidence and audit-ready outputs.

Compliance Issue Management

• Oversee the identification, assessment, escalation and management of compliance and control issues.
• Evaluate issue severity, ensure appropriate governance and drive timely escalation in line with internal policies and regulatory expectations.
• Partner with business stakeholders to develop and implement effective remediation plans.
• Monitor and challenge progress, ensuring actions address root causes and are completed to an appropriate standard before closure.

Stakeholder Engagement & Advisory

• Act as a trusted advisor to Front Office stakeholders and senior management on regulatory risk, controls and compliance expectations.
• Provide clear, pragmatic and commercially aware guidance on regulatory requirements and their application to business activities.
• Constructively challenge business practices and influence stakeholders to achieve stronger control outcomes.
• Build effective relationships across Compliance, Risk, Audit and other relevant functions, supporting collaboration across the three lines of defence.
• Promote a strong risk and control culture across Global Markets.
• Drive improvements in control design, business processes, monitoring methodologies and documentation standards.
• Maintain robust governance and audit trails that demonstrate compliance with internal policies and regulatory expectations.
• Support strategic business initiatives and regulatory change programmes, ensuring risks and control implications are appropriately addressed.
• Collaborate with international teams to promote consistency, share best practice and strengthen the global control framework.

Experience Required

• Experience in regulatory risk, compliance oversight, first-line risk and controls, or a related discipline within financial services.
• A good understanding of Global Markets activities, trading products and front-to-back business processes.
• Knowledge of the UK regulatory landscape, including FCA and PRA requirements, with exposure to MiFID II and wider conduct and markets regulation.
• Experience conducting regulatory risk assessments and designing or overseeing risk-based monitoring and testing programmes.
• A strong track record in identifying control gaps, managing compliance issues and driving effective remediation.
• The ability to engage confidently with Front Office stakeholders and senior management, providing constructive challenge and credible advice.
• Strong analytical, problem-solving and communication skills, with the ability to present complex issues clearly and concisely.
• Excellent organisational skills and a commitment to maintaining high standards of documentation, governance and audit readiness.
• A collaborative mindset, with the ability to work effectively across functions and international teams.

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