Regulatory Compliance Specialist

3 weeks ago


London, Greater London, United Kingdom Eximius Finance Full time
Job Title: Private Banking Compliance Advisor

Eximius Finance is seeking a highly skilled Private Banking Compliance Advisor to join our team. As a key member of our compliance team, you will provide expert advice on regulatory compliance matters related to lending, ensuring that our business operates within the bounds of relevant laws and regulations.

Key Responsibilities:
  • Provide accurate and timely regulatory compliance advice to the Private Client business on lending (regulated, unregulated, and consumer credit)
  • Advise on the meaning and application of FCA rules and guidance applicable to secured lending, PRA BTL lending, and CONC rules and guidance
  • Ensure issues of potential regulatory risk are identified and managed promptly and appropriately
Requirements:
  • A number of years' compliance advisory experience, ideally with a background in regulated lending
  • Strong and proven working knowledge of FCA regulation, particularly MCOB, CONC, Consumer Duty, and PRA BTL lending regulation
  • Sound knowledge of retail lending products for consumers, with experience working with lending to private banking clients welcomed
  • Ability to think clearly and apply technical regulatory knowledge to commercial demands of business
What We Offer:

Eximius Finance offers a dynamic and challenging work environment, with opportunities for professional growth and development. If you are a motivated and experienced compliance professional looking for a new challenge, we encourage you to apply for this exciting opportunity.



  • London, Greater London, United Kingdom VRS Regulatory Full time

    Regulatory Affairs Specialist - Chemical Compliance ExpertWe are seeking a highly skilled Regulatory Affairs Specialist to join our team at VRS Regulatory. As a key member of our regulatory affairs team, you will be responsible for providing expert advice on chemical regulatory compliance and ensuring that our clients' products meet the necessary regulatory...


  • London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking a talented Regulatory Compliance Specialist to join our team at AJ FOX COMPLIANCE. This role offers a fantastic opportunity for a qualified lawyer with regulatory compliance experience to broaden their skill set and work alongside a small team consisting of a compliance assistant, senior compliance lawyer, and the new head of risk who is also...


  • London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    We are seeking a highly skilled Regulatory Compliance Lawyer to join our team at AJ FOX COMPLIANCE. As a key member of our compliance team, you will play a crucial role in ensuring our clients' regulatory risk and compliance needs are met.Key responsibilities will include:Drafting, monitoring, and advising on compliance policies and proceduresHandling...


  • London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job OpportunityWe are seeking a highly skilled Regulatory Compliance Lawyer to join our team at AJ FOX COMPLIANCE. This role offers a unique opportunity for a qualified lawyer with regulatory compliance experience to broaden their skill set and work alongside a small team of experts.Key Responsibilities:Draft, monitor, and advise on compliance policies and...


  • London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Job OpportunityWe are seeking a highly skilled Regulatory Compliance Lawyer to join our team at AJ FOX COMPLIANCE. This role offers a unique opportunity for a qualified lawyer with regulatory compliance experience to broaden their skill set and work alongside a small team of experts.Key Responsibilities:Draft, monitor, and advise on compliance policies and...

  • Compliance Specialist

    2 weeks ago


    London, Greater London, United Kingdom VRS Regulatory Full time

    Key ResponsibilitiesThis role is focused on providing expert regulatory advice and guidance to clients within the chemical regulatory science consultancy. Key responsibilities include leading physical/chemical properties/analytical methods and method validation for plant protection products.Key SkillsPhD / MSc in chemistry or similar subjectKnowledge and...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Professionals is seeking a Compliance Monitoring Manager to join their team in London. The ideal candidate will have prior experience in regulatory compliance, audit, or risk function, and a strong understanding of the applicable regulatory framework, including Conduct Risk and other relevant FCA sourcebooks. The role will involve driving...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Professionals is seeking a Compliance Monitoring Manager to join their team in London. The ideal candidate will have prior experience in regulatory compliance, audit, or risk function, and a strong understanding of the applicable regulatory framework, including Conduct Risk and other relevant FCA sourcebooks. The role will involve driving...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Head of Asset ComplianceOur client is a leading online multi-asset brokerage firm, specializing in FX/CFD products. This role will report directly to the Global Head of Risk and Compliance.Key Responsibilities:Establish and Maintain Compliance Frameworks: Develop and implement appropriate policies, procedures, systems, and controls in relation to...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Job Title: Head of Asset ComplianceOur client is a leading online multi-asset brokerage firm, specializing in FX/CFD products. This role will report directly to the Global Head of Risk and Compliance.Key Responsibilities:Establish and Maintain Compliance Frameworks: Develop and implement appropriate policies, procedures, systems, and controls in relation to...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring Manager RoleWe are seeking a highly skilled Compliance Monitoring Manager to join our team at Compliance Professionals. The successful candidate will be responsible for driving compliance oversight through testing and monitoring programs, identifying areas for enhancements of systems and controls, and executing all testing and...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Professionals is seeking a highly skilled Regulatory Compliance Officer to join our team. As a key member of our compliance team, you will be responsible for ensuring that our firm remains in compliance with all relevant regulatory requirements.Key Responsibilities:Develop and implement effective compliance monitoring and surveillance programs to...


  • London, Greater London, United Kingdom VRS Regulatory Full time

    Regulatory Affairs Specialist OpportunityWe are seeking a highly skilled Regulatory Affairs Specialist to join our team at VRS Regulatory. As a key member of our Regulatory Affairs and Risk Assessment division, you will play a crucial role in ensuring compliance with EU 1107/2009 regulations for plant protection products.Your primary responsibilities will...


  • London, Greater London, United Kingdom VRS Regulatory Full time

    Regulatory Affairs Career OpportunityVRS Regulatory is seeking a highly skilled Regulatory Affairs Specialist to join our team in delivering regulatory services related to chemistry and analytical methods for plant protection products.Key Responsibilities:Provide regulatory advice to clients on substance and product registrations strategies.Review phys-chem...


  • London, Greater London, United Kingdom VRS Regulatory Full time

    Key Responsibilities:Manage a portfolio of plant protection products in specific geographical territoriesDevelop regulatory strategy for the product portfolio in your territoryPrepare and review regulatory submissionsWork with the in-house regulatory science team to produce technical dossier sections and risk assessmentsSubmit regulatory applications and...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Surveillance SpecialistOur client, a boutique investment and trading firm, is seeking a highly skilled Compliance Monitoring and Surveillance Specialist to join their team. As a key member of the Compliance Professionals team, you will be responsible for ensuring the firm's compliance with regulatory requirements and maintaining a...


  • London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Surveillance SpecialistOur client, a boutique investment and trading firm, is seeking a highly skilled Compliance Monitoring and Surveillance Specialist to join their team. As a key member of the Compliance Professionals team, you will be responsible for ensuring the firm's compliance with regulatory requirements and maintaining a...

  • Compliance Officer

    1 week ago


    London, Greater London, United Kingdom Compliance Professionals Full time

    Compliance Monitoring and Regulatory ComplianceWe are seeking an experienced Compliance Officer to join our team at Compliance Professionals. The ideal candidate will have a strong background in regulatory compliance and experience in managing a small team.Key Responsibilities:Monitor and review all relevant statutory and regulatory provisions, including...

  • Compliance Manager

    2 months ago


    London, Greater London, United Kingdom Compliance Professionals Full time

    About the Role:Compliance Professionals is seeking a highly skilled Compliance Manager to join our team. As a Compliance Manager, you will play a critical role in ensuring that our organization operates in compliance with all relevant laws, regulations, and industry standards.Key Responsibilities:Develop and implement effective compliance policies and...


  • London, Greater London, United Kingdom AJ FOX COMPLIANCE Full time

    Regulatory Compliance Lawyer OpportunityWe are working with a boutique city law firm to assist them in hiring a Regulatory Compliance Lawyer. This role is a fantastic opportunity for a qualified lawyer with regulatory compliance experience or data protection/data privacy experience.Key Responsibilities:Draft, monitor, and advise on compliance policies and...