Compliance, Consumer Compliance, Analyst

Location(s) UK-London
Job ID
Schedule Type
Full Time
Business Unit
Consumer Compliance
Employment Type




Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. 


Job Summary


This position will play a key role in the Consumer Compliance team, which identifies, assesses and mitigates regulatory and reputational risk as it relates to consumer / SME financial services transaction that the Firm enters into across EMEA. Types of transactions include principal equity, financing and advisory deals.

The Consumer Compliance team works closely with internal business, legal and credit teams, outside counsel, and other third-party advisors to conduct operational and regulatory due diligence on specific counterparties and consumer-related product or services offered. In addition, Consumer Compliance assists and, in some cases, drives the key components of the deal process.




Key Responsibilities:

  • Assist with asset and counterparty due diligence focused on consumer regulatory requirements
  • Interact with various internal teams as well as external advisors and clients as part of the due diligence process
  • Analyze and form views on transactions and the associated consumer compliance and reputational risks for the purposes of various Firm committees
  • Assist with the development and implementation of governance frameworks that are often transaction, jurisdiction and product specific
  • Support the firm's risk governance framework as a representative of Consumer Compliance
  • Provide ongoing support of transactions that require monitoring of consumer compliance
  • Assist in the development! of consumer compliance risk controls as the Firm further develops its lending capabilities and new products
  • Monitor the regulatory landscape to anticipate and implement changes to our framework
  • Assist in the build out transaction reporting / MI reporting capabilities

Qualifications & Experience

  • Minimum - Bachelor's Degree
  • General knowledge of consumer regulations in UK / other jurisdictions in EMEA (preferred)
  • Understanding of how consumer financial products (e.g., installment loans, mortgage, credit card) are underwritten is a plus but not required
  • Knowledge of Microsoft Excel, Access and PowerPoint
  • European language skills are viewed favorably 
  • Intellectual curiosity
  • Proactive in identifying risks and proposing creative solutions
  • Excellent written/verbal communication skills
  • Ability to handle multiple tasks simultaneously and work under tight deadlines
  • Good team player - highly motivated, reliable, and accountable
  • Ability to work well with a range of senior managers and peers



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