Compliance Officer / Manager

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Posted 15 days ago
Contract Type:
£90,000 - 120,000
Area of Law:
Private Practice
Reference Number:
13th May 2022
Compliance Manager / Officer - City of London - Private Practice Top Tier, global law firm is actively seeking to recruit a talented Compliance Officer/ Manager due to continued expansion. The Firm International firm who not only provide technical excellence and experience but, crucially, demonstrate real insight into their clients and what really matters to them. A natural choice for FTSE100 clients and their equivalents in other markets and for the best talent, their people fulfil their potential in an environment where they are developed and valued. The firm puts itself in their clients' shoes, as part of a team of effective business people as well as efficient lawyers. The Team The Risk & Compliance Team consists of experienced career compliance consultants with experience spanning both industry and Big 4 consultancies. The team advise on a broad range of issues ranging from authorisations of new entrants and mobilisation, through to supporting the restructuring and ring fence activities of a Tier 1 bank. Noted for their technical rigour and practical support, the Risk & Compliance Team works seamlessly with the firm's lawyers to provide a comprehensive, joined up advisory solution to clients. The Role Due to continued, strategic, expansion, the firm is looking to build in terms of strength and depth. As a result they are looking for an excellent Compliance Officer/ Manager with a strong retail financial services pedigree and around the 4 - 5 years' experience. This is a client facing role and you will be a key member of the financial regulation team. The role will entail: · Providing technical advisory support to key clients such as Tier 1 banks, large mono-line card, as well as supporting new entrants and smaller scales clients across all areas of retail financial services; · You will deliver advisory support on permissions, technical structuring, product specific conduct rules as well as carrying out regulatory due diligence in support of corporate transactions; · Provide PRA and FCA authorisation support across the range of permissible authorisations including payment services; · Undertake regulatory reviews of clients across various sectors of financial services; and Using a wide variety of technical and sector-specific skills, you will engage on projects for clients in areas such as: · Consumer credit assurance reviews · Technical advice across the spectrum of the Handbook · Review and recommendation of governance structures and board risk frameworks · Support of commercial teams in regulatory due diligence and change in control · Advice of risk-based approach to a variety of regulatory requirements · Technical support on regulatory change for example Consumer Duty · Support of clients undergoing FCA investigations · Delivery of specific training and preparing clients for regulatory visits · Detailed technical documentation for reporting requirements and regulatory returns · Maintenance of sector knowledge to support ongoing client training and publications · Managing regulatory enquiries, skilled person reviews and enforcement action · Supporting implementation and mobilisation as clients enter regulated activities or set up new business areas · Have a detailed understanding of the authorisation and supervision process of the FCA and PRA Benefits - Tier 1 firm - Highly competitive salary structure - Attractive benefits package - First class training and career development programme To apply for this position, please contact Richard Coward at BCL Legal
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Advising Consultant

Richard Coward
Richard Coward



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