Private Banking Compliance Advisor

3 days ago

London, United Kingdom Eximius Finance Full time

The post-holder will: Provide accurate, timely and practical regulatory compliance advice to the Private Client business on Consumer Credit. For regulated lending, advise on the meaning and application of FCA rules and guidance applicable to secured lending (MCOB + any legacy Article 3.1(b) agreements and CONC rules and guidance) as well as PRA BTL lending, taking into account requirements from other sources (e.g. Consumer Duty, Consumer Credit Act (CCA) legislation, industry standards and best practice codes) For unregulated lending, advise on the meaning and application of rules and guidance that apply to any regulated aspects or general conduct expectations Ensure issues of potential regulatory risk (including potential regulatory breaches) are identified and managed (and/or escalated as required) promptly and appropriately, having regard to the need to treat clients fairly, help clients to achieve good outcomes, acting when clients achieve poor outcomes and manage IBP’s Retail regulatory and conduct risks Core Skills and Knowledge  A number of years’ compliance advisory experience, ideally with a background in regulated lending Strong and proven working knowledge of FCA regulation with particular emphasis on MCOB, CONC, Consumer Duty + PRA BTL lending regulation and experience of providing advice on these regulations to a regulated firm 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 Adept at tracking changes in the market, products, legislation and regulation relevant to the business areas and communicating them out in a digestible manner  

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