Compliance Manager - Regulatory Consultancy
- London, England, United Kingdom
- Permanent, Full time
- Holmes Search
- 01 Feb 18 2018-02-01
Our client's Financial Services Risk Practice offers strategic and operational services aimed to improve their clients’ ability to assess, monitor and improve their systems and internal controls delivering innovative, dynamic and sustainable solutions. They are seeking to be the leading global provider of integrated content risk, risk-management and regulatory advisory services in the financial services sector and we’re looking for talented people to join them on this journey.
Progression opportunities exist for motivated and exceptional performers, and all successful candidates will be provided with structured training and professional development enabling them to meet the requirements of this responsive and fast paced team. Candidates must be flexible and be prepared to work from client locations for the duration of the client engagement.
The Regulatory Advisory team brings together a breadth of core skills and experience to provide advice and help global clients assess their options, improve operations and manage their risks as an enterprise wide discipline. You would work closely with regulators to help clients provide the top UK and EU financial institutions support on:
• Strategic implications of regulation (including impact on business model and operating model)
• Effective implementation of regulatory directives
• Remediation of regulatory issues
• Effective implementation of risk management processes
• Embedding a risk based performance assessment
The Regulatory Team works closely with a number of high profile clients in this sector. The team has undertaken a variety of engagements working with both the Front Office and key control functions. Examples of engagements include the implementation of processes around the identification of conduct risk, conflicts reviews, governance effectiveness and the implementation of new regulations such as MiFID 2. The range of regulatory initiatives with which the team is involved means that there is a dynamic team environment providing team members with a wealth of opportunities for personal growth and development.
As a Manager, depending on experience and type of engagement, you will be responsible for the following:
• Advise clients with deep technical insights and build credibility based on an understanding of their challenges related to technical matters.
• Provide high quality, professional day-to-day execution of engagements and projects in line with firm risk management practices for the financial services practice.
• Work on project teams focused on advisory projects and assist engagement management to successfully complete engagement objectives, including: priorities, working papers, internal reports, program development, milestones, roles and responsibilities, risks, outputs, and engagement economics, update stakeholders and escalate scope changes/timelines/issues as appropriate.
• Identify and communicate findings to senior management and client personnel.
• Supervise project work prepared by more junior professionals, providing feedback and guidance on quality outputs.
• Understand firm service offerings and mentor associates, interns, and new hires
• Enable the business development process by gathering appropriate resources, gaining access to key contacts, supervising proposal writing and driving progress to completion.
Skills and Experience
Regulatory experience at the FSA/ FCA, a FTSE 100 Financial Services organisation, one of the other Top 4 consultancies, or another Advisory firm
Knowledge of CASS, governance, conduct risk, new regulatory developments such as MiFID 2 would be beneficial
Strong academic background which could include the following: 2:1 degree, CII Exams ( FPC / AFPC), CISI Level 4, Prince 2, CeMAP, CeFA and / or Other Financial Services qualifications