Compliance Advisor
I’m working with a financial services firm to recruit a Compliance Advisory Officer within their retail banking team, focused on second-line defence. This role requires deep technical expertise in MCOBS and CONC, paired with strong advisory experience. You’ll be part of a close-knit, specialised retail advisory team within an innovative financial services environment.
Key Responsibilities:
1. Regulatory Advice: Provide compliance advice to Private Client lending on FCA rules for secured lending (MCOB, CONC) and PRA BTL regulations. Advise on unregulated lending for regulated aspects.
2. Risk Management: Identify and manage regulatory risks, escalate as needed, and support fair treatment and positive client outcomes.
3. Governance & Representation: Act as Retail Compliance representative in forums (e.g., Private Client Risk & Conduct Forum) and contribute to regular risk assessments.
4. Monitoring & Assurance: Collaborate with Compliance Monitoring to design assurance programs focused on regulatory risks.
5. Policy & Procedure Development: Aid in creating and maintaining compliance policies, ensuring alignment with regulations.
6. Industry Engagement: Represent the firm at industry meetings, staying updated on regulatory developments.
Requirements:
1. Extensive experience in compliance advisory, particularly in regulated lending.
2. Strong knowledge of FCA and PRA regulations (MCOB, CONC, Consumer Duty, BTL lending).
3. Experience in advising on compliance within retail lending, ideally for private banking clients.
4. Clear communication, problem-solving skills, and ability to interpret regulatory changes.
Personal Attributes:
1. Integrity, attention to detail, strong analytical skills, and a practical approach to decision-making.
Salary: up to £80,000 - £95,000 on base
London office hybrid working
Please contact me for more information: ne@barclaysimpson.com
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