Senior Compliance Officer (Investment Banking Compliance)

Overview

In this role you will provide regulatory guidance to Trading and Equities, helping maintain and improve the bank’s control framework. You will perform risk assessments, oversee monitoring and surveillance activities, and drive policy development and training. You collaborate across front, middle and back office, and with international Compliance teams to ensure robust compliance coverage. This position offers cross-border exposure, a hands-on environment and the chance to shape controls in a historic European private bank.

Pay / Benefits

• Private pension plan – 10% of base salary
• 30 days holiday
• Private Health Insurance
• Life Insurance
• Flexible working hours
• Enhanced parental leave

Responsibilities

• Provide compliance advice to Trading and Equities units and maintain stakeholder relationships
• Conduct risk assessments and contribute to regulatory planning
• Enhance the control framework via targeted monitoring and surveillance
• Perform trade surveillance, compliance monitoring, and ad hoc investigations
• Develop and update policies/procedures, contribute to projects, and deliver training
• Collaborate with Compliance colleagues in Hamburg, Frankfurt, London and the US subsidiary

Key requirements

• Minimum five years of experience in markets compliance or equivalent
• Degree or equivalent qualification
• Strong knowledge of UK/European securities regulations (MiFID II, MAR)
• Trade surveillance experience is advantageous
• Analytical and strategic thinking; process improvement mindset
• Ability to work independently and across borders; strong prioritisation under pressure
• Excellent written, verbal and presentation skills; commitment to in-office engagement

• analytical mindset
• strategic thinking
• cross-border collaboration
• trade surveillance
• compliance monitoring
• policy and procedure development

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