Private Side Advisory Compliance Director

Job Title: Private Side Advisory Compliance Director

Location: London

Working Pattern: Hybrid (2-3 days/week onsite; Tuesday preferred for team meetings)

Contract Type: 12-month FTC (maternity cover), target start date: 8th December

Role Purpose

This senior-level compliance advisory role leads the Structured Finance Solutions (SFS) vertical within the Private Side Compliance function. The successful candidate will serve as a strategic advisor to the business, ensuring regulatory compliance across a diverse portfolio of structured finance products and services, while also contributing to broader compliance initiatives across the Corporate Investment Banking (CIB) vertical.

The role demands a proactive, relationship-driven professional with deep regulatory expertise, strong leadership capabilities, and the ability to influence senior stakeholders across multiple business lines.

Key Responsibilities

• Lead the SFS Compliance Advisory function, providing expert guidance on regulatory obligations across structured finance, project finance, sponsor finance, real estate finance, and fund finance.
• Act as a senior compliance partner to the business, proactively identifying and mitigating compliance risks.
• Support cross-vertical coverage, including CIB activities such as ECM, DCM, M&A, and general corporate banking.
• Advise on emerging areas such as asset recycling and fund structuring, including interaction with SMBC's asset management arm.
• Review and refine compliance policies, procedures, and frameworks in line with evolving regulations and business needs.
• Manage conflicts of interest and contribute to the development of a robust compliance culture.
• Prepare and present committee materials, policy updates, and training content.
• Support internal investigations, audits, and regulatory reviews.
• Represent SMBC in external working groups and consultations.

Required Skills & Experience

• Proven experience in compliance advisory within a universal or investment banking environment.
• Deep understanding of regulatory frameworks including MiFID II, MAR, Conduct Risk, ESG, and FCA rules.
• Strong expertise in structured finance and lending products; exposure to derivatives and bond structures.
• Experience with asset management or fund structuring is highly desirable.
• Ability to lead, influence, and build relationships across senior business stakeholders.
• Strong policy writing and conflict management capabilities.
• Excellent communication and presentation skills.
• Comfortable managing a small team and working collaboratively across functions.
• Familiarity with standard office tools (PowerPoint, Word) for committee packs and presentations.

Please note: Due to the high volume of applications, only shortlisted candidates will be contacted. If you do not hear from us within 48 hours, your application has not been successful on this occasion. However, we may retain your details for future suitable opportunities.

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