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Managing Consultant, Retail OR Insurance

Salary: £100,000 - £150,000 - London

OVERVIEW

Our client is a leading consulting, technology and innovation firm. They are independent and employee-owned and have over 2,500 people working with business and governments worldwide, through their offices in North America, Europe, the Nordics, the Gulf and Asia Pacific. Their specific expertise is in energy, financial services, life sciences and healthcare, manufacturing, government and public services, defence and security, telecommunications, transport and logistics.

The growing Financial Services Practice has driven some of the most exciting work that the consulting industry has seen for many years across Insurance, Capital Markets and Banking:

Our client is:

•transforming a highly critical division for one of the UK’s leading Life & Pensions firms
•doing more work with the UK FS Regulators than any other consulting firm 
• helping a range of Financial Services companies transform their digital offerings, responding to some of the biggest shifts we have seen in consumer behaviour 
•currently working with a number of global banking clients to shape and manage their responses to several regulatory changes including AML, Basel III, FATCA and others. 

Our client is currently looking for experienced selling and operating consultants who have a network of contacts within the banking OR insurance industry.

Job Requirements

Managing Consultants are responsible for the sale of consulting work and the delivery of complex assignments.  These MCs must have vast experience in financial services AND a solid background in consulting as part of that. 

Consulting Skills
• Demonstrated ability to manage assignments involving complexity of one or several dimension(s) including:
- Large team size
- Multiple work streams
- Multiple geographies
- Difficult client situation
- Highly technical subject matter/ground-breaking work
• Demonstrated ability to interact unsupported with clients at all levels
• Demonstrated ability to develop effective client documents which require little or no editing
• Demonstrated ability to structure and develop solutions to client problems (ie to develop the approach to develop deliverables)

Selling Skills
• Demonstrated ability to develop propositions for financial services and to turn these into sales efforts
• Demonstrated ability to lead sales efforts, including the development of marketing materials, responding to requests for proposal, negotiations with clients and finalising commercial terms
• Track record of sales in professional service

Content Knowledge
• Deep understanding of banking gained either in a line role or through consulting experience
• Deep knowledge of industry issues in core areas and a good understanding of wider industry issues
• Demonstrated ability to lead the development of significant TL (including concept design, structuring, writing or managing for completion, etc)

SKILLS

Demonstrated ability to act as a role model and to provide line management of staff including significant coaching and mentoring of junior staff
• Has acted as the public face of Thought Leadership on conference platforms and in the media and is sought out for comment internally and externally
• Has led the development of significant TL including concept design, structuring, writing and managing for completion.
• Line management experience and/or experience of leading & developing high performance teams (3+ people)
• Project management experience

Although our team do try to respond to all applications, unfortunately this is not always possible.  Therefore, should we not have contacted you within 5 days of your application you have not been successful on this occasion.

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

Senior Consultant, Regulatory Consulting
Phone: 01732 746 668
Email Jemma

Asset Management Regulatory Consultant, Law FIrm

£70,000-£85,000 - City of London

OVERVIEW

Our client is a law firm who has deep expertise in all aspects of governance, risk and compliance.  The asset management team is supported by specialist financial services lawyers.

RESPONSIBILITIES

The team is looking to recruit a consultant to support their work with asset managers and are looking for a hardworking, motivated and creative individual to assist the team in working on a variety of different projects:

  • FCA authorisations and approvals of new business
  • Ongoing regulatory advice to investment managers
  • Assurance reviews
  • Governance, risk and compliance reviews
  • Risk framework design and review
  • Regulatory change programme and projects
  • Skilled person reviews
  • Root cause analysis, past business reviews, redress and remediation

SKILLS

  • Autonomously deliver reports, manage projects or deliver pieces of technical advice under the supervision of more senior team members
  • Developing sustainable client relationships
  • Developing strong internal working relationships
  • Managing workloads

 TECHNICAL SKILLS

  • Understanding how an investment manager operates, the operation of regulated and unregulated funds
  • An appreciation of the key regulatory rules applicable to asset managers
  • Knowledge of asset management and private wealth products and services, including managed accounts and authorised or unauthorised funds
  • Good compliance background in regulatory consultancy
  • A background of asset management control reviews
  • Understanding of a broad range of regulatory issues
  • Knowledge of FCA handbook and related legislation

Although our team do try to respond to all applications, unfortunately this is not always possible.  Therefore, should we not have contacted you within 5 days of your application you have not been successful on this occasion.


 

Like to talk to someone about this job?

For more information contact Jemma Graffin

Senior Consultant, Regulatory Consulting
Phone: 01732 746 668
Email Jemma

Client On-Boarder and Client Advisor Support

up to £40k - City of London

Our client provides wealth management advisory services to high-net worth clients. The role is provide support for the Client Onboarder and the Client Advisors primarily within the client take-on process. You must be detail orientated and can expect a diverse range of clients to onboard with regards to source of wealth, family/trust/corporate structures, tax residency and particular requirements for each client. In particular you will be expected to:

  1. adhere to pre-defined and devlop where possible the policies and procedures, processes and tools for KYC data and controls, due diligence controls, client review ad workflow and controls
  2. ensure there is a seamless client take-on
  3. support the onboarder with the data amendment process
  4. support the onboarder in evolving processes, procedures and tools to support regulatory change, evolving proposition and efficiencies in client experience.

 

Although our team do try to respond to all applications, unfortunately this is not always possible.  Therefore, should we not have contacted you within 5 days of your application you have not been successful on this occasion.

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

Senior Consultant, Regulatory Consulting
Phone: 01732 746 668
Email Jemma

This is an exciting career opportunity for you to lead the Compliance & CASS function at a boutique firm based in the City. We have been retained to identify a talented all round Compliance & CASS specialist to be the sole advisor to the business ensuring the firm complies with the FCA regulations. We are looking for a 'hands on' doer who also possesses excellent communication skills to deal with the business, regulators, other senior management and all members of staff.

 

The role will act as advisor to the senior management team and board committees and has a reporting line responsibility to Group Legal/Compliance and to the UK Board/Chairman. Day to day reporting is to the CEO in London to take direction for tasks and activities, planning and compliance approach.

 

Responsibilities:

  • Plan Compliance Reviews to ensure compliance to all required regulations and procedures in the business’ activities;
  • Review CASS rules implementation in the operational areas of the business and report on effectiveness to the Board;
  • Review and recommend any changes/alterations to the procedures;
  • Maintain good working relationship with Group Legal/Compliance, Group Internal Audit, External CASS Auditors and FCA inspection teams;
  • Monitor new regulations or good practice guidance to ensure that compliance awareness is maintained and the business responds to emerging regulation;
  • Monitor Client and Counterparty Documentation to ensure that it is current, complete and appropriate in so doing ensuring the business maintains the necessary legal and compliance documents for its activities;
  • Ensure knowledge and understanding of compliance and legal arrangements is disseminated throughout the business with particular emphasis on CASS training;
  • Assist with compliance/legal risk assessments, produce annual legal/compliance risk report to the Board;
  • Monitor execution of risk mitigation measures identified; and
  • Support new business initiatives from a regulatory perspective and participate in projects where compliance expertise is required

Whilst this is a reflection of the role it is not exhaustive and the incumbent will be expected to be flexible and take on activities outside of those listed from time to time.

Qualifications:

  • Either Legal background or relevant professional qualifications

  • Proven technical ability in FCA regulations for Investment firms and in particular APER, SYSC, CASS, COBS along with KYC/AML

  • Good knowledge of the European Investment Fund industry

  • Experienced compliance practitioner in all aspect of securities operations with emphasis on custody

  • Experience with dealing with the regulator and board reporting

  • Strong Report Writing and Organisational qualities

 

Although our team do try to respond to all applications, unfortunately this is not always possible.  Therefore, should we not have contacted you within 5 days of your application you have not been successful on this occasion.

 

Like to talk to someone about this job?

For more information contact Mark Holmes

Managing Director
Phone: 01732 746 668
Email Mark

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