Accessibility
Home
Jobs
Upload CV
Find Talent
Careers
Retail Compliance Advisor
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. I know this team very well and its a team and a company that would be an absolute joy to work for.
Key Responsibilities:
- 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.
- Risk Management: Identify and manage regulatory risks, escalate as needed, and support fair treatment and positive client outcomes.
- Governance & Representation: Act as Retail Compliance representative in forums (e.g., Private Client Risk & Conduct Forum) and contribute to regular risk assessments.
- Monitoring & Assurance: Collaborate with Compliance Monitoring to design assurance programs focused on regulatory risks.
- Policy & Procedure Development: Aid in creating and maintaining compliance policies, ensuring alignment with regulations.
- Industry Engagement: Represent the firm at industry meetings, staying updated on regulatory developments.
Requirements:
- Extensive experience in compliance advisory, particularly in regulated lending.
- Strong knowledge of FCA and PRA regulations (MCOB, CONC, Consumer Duty, BTL lending).
- Experience in advising on compliance within retail lending, ideally for private banking clients.
- Clear communication, problem-solving skills, and ability to interpret regulatory changes.
Personal Attributes:
- 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
We seek individuals from a diverse talent pool and encourage applicants from underrepresented groups to apply to our vacancies. Our commitment to fair recruitment processes means that we welcome applicants from all backgrounds, regardless of their lived experience or personal characteristics. We also invite applicants who meet most of the listed requirements, even if not all, to apply. If you require any adjustments to the application process, please let us know.
Barclay Simpson acts as an Employment Agency for permanent positions and an Employment Business for temporary/contract engagements.
