Compliance Advisory & Regulatory Update Associate

Compliance Advisory & Regulatory Update Associate Investment Banking

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A leading international investment banking group is seeking a Compliance Advisory & Regulatory Update Associate to join its Compliance function. The firm operates in a highly regulated and international environment, with a strong focus on risk management, regulatory excellence, and support to business activities.

About the Role

You will join the Compliance Advisory team, supporting the business on Compliance and Financial Security matters, with a focus on investment banking activities activities. The function represents a key control layer, ensuring adherence to regulatory requirements and providing ongoing advisory on AML, Sanctions, and broader compliance risks.

Key Responsibilities

• Assess customer compliance risks and issue Financial Security opinions

• Prepare memoranda on compliance risks related to clients and transactions

• Support the approval of higher-risk transactions (AML, Sanctions, Defense-related risks)

• Conduct investigations, mainly related to AML alerts

• Support the business on Product Governance and Know Your Distribution (KYD) processes

• Provide advisory on Capital Markets transactions and products

• Contribute to the maintenance of internal AML systems and databases

• Support regulatory horizon scanning and assess regulatory developments

• Assist in gap analysis between Group policies and local regulations

• Prepare documentation on local regulatory frameworks (AML and Capital Markets)

• Support internal and regulatory risk assessment activities

• Analyze data to identify potential compliance risks

Requirements

• Postgraduate degree in Law, Economics, Management, or related fields

• 6–7 years of experience in Compliance within investment banking or international financial institutions

• Strong experience advising on Financial Security and Capital Markets risks

• In-depth knowledge of AML, Sanctions, and Capital Markets regulations (e.g. MiFID, MAR)

• Experience in regulatory governance and reporting to supervisory authorities

• Knowledge of the Italian regulatory framework is required

• Compliance xdwybme certifications (e.g. CAMS) are a plus

Skills & Competencies

• Strong knowledge of investment banking products and related risks

• Experience in Financial Crime risk assessment and Compliance Advisory

• Solid understanding of regulatory trends and industry practices

• Excellent analytical and problem-solving skills

• Strong communication and interpersonal abilities

• Ability to work in international and multicultural environments

• High level of integrity, discretion, and accountability

• Proactive and hands-on approach

Languages & IT Skills

• Fluency in English and Italian (written and spoken)

• French is a plus

• Proficiency in Microsoft Office Suite