Compliance, Financial Crime and Risk

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Salary: £50 - £70K - London

This company is one of the world's leading professional service organisations.  From 158 countries, they help clients, some of the most successful organisations on the globe, as well as its most dynamic entrepreneurs and thriving private businesses, to create the value they want.  Our client helps measure, protect and enhance the things that matter to them most.


Our client looks for future employees to demostrate the skills and behaviours that support them in delivering their business strategy.  This is important to the work they do for their business and clients.  These skills and behaviours make up the global leadership framework.  These core five attributes are:  whole leadership, technical capabilities, business acumen, global acumen and relationships.


Our client offers great opportunities for people with diverse backgrounds and experiences.  They seek to attract and employ the best people from the widest talent pool, as well as those who reflect the diverse nature of our society.  They aim to encourage a culture where people can be themselves and be valued for their strengths.  Creating value through diversity is what makes our client stronger as a business and as an organisation with an increasingly agile workforce, they are open to flexible working arrangements where appropriate.



You will be required to understand the Regulatory and Business Landscape and influence change.  You will need to help clients navigate through each new complexity and this is how you will bring value to the clients every day.  The world of Risk and Regulation is changing and you could have the opportunity to join the journey and be part of creating a new and relevant Financial Services Industry.  

Supporting clients with managing non-financial risk and continue to excel in this and strengthening the Financial Services Risk & Regulation practice.  Working with clients across Banking & Capital Markets while they continue to face new challenges given significant shifts in the regulatory and business environment.  The client base consists of loarge global investment banks, mid-tier banks and new start up banks looking for support with regulatory authorisations and set-up.


Business Change & Conduct

We are specifically looking for candidates to join their Business Change & Conduct group.  Specialists are self-starting, agile and thrive on bringing past experiences to new and diverse challenges.  They are happy to work as individuals or as part of multi-disciplinary teams to provide hands on, client facing services to the clients in the capital markets area, primarily large global banks, on regulatory change and redmediation, governance risk and controls as well as critical business change.  These services can be in the form of regulatory / consulting advice, implementation support or controls review and recommend reports.  You will be required to work with Front Office, Risk, Operations and Finance functions, often cross-functionally in supporting them with large business and regulatory change programmes and with enhancing their governance, controls and risk frameworks.    Below are some of the types of work you could be involved in:

  • Advice & implementation responding to conduct regulation – regulatory advice, regulatory implementation support, regulatory assurance services e.g. MIFID II, transaction reporting, margin regulation, benchmark regulation etc
  • Governance, risk & control e.g. embedding senior manager regime, front office supervision and control (benchmark, algorithmic trading controls, trader supervision, order execution etc), model risk management, control framework optimisation, compliance risk management and testing, front to back control design and/or remediation, risk and control reporting and MI
  • Supporting the clients with business change e.g. Brexit planning and support
  • Helping banks with their regulatory authorisation and licensing



  • Contributing to development of new business relationships and business proposals
  • Managing a Banking and Capital Markets client delivery portfolio reporting to the Senior Manager Group
  • Delivering business and regulatory change programmes
  • Leading engagement teams of up to 5 staff
  • Managing and building day-to-day client relationships across a network of stakeholders internally and externally
  • Managing staff and taking on coaching responsibilities

The role will provide you with experience of working with major banking and capital market clients, where you can demonstrate your understanding of regulatory requirements, governance and controls and approaches to project and programme delivery.


Role requirements
Essential skills:

  • 5 yrs+ experience of working within professional services/consulting organisations or banks specifically focussed on regulatory/business change and/or front to back trading governance, risk and controls.
  • Leadership skills with a proven track record of successfully leading work-streams within change/client engagements
  • Strong client relationship, stakeholder management and inter-personal skills, with a proven track record of dealing and influencing stakeholders
  • Good commercial awareness, sound reporting skills and the ability to work under your own initiative
  • Excellent oral and written communication skills (ie report writing)
  • The ability to apply independent judgement during engagements and to support conclusions reached to senior level personnel both internally and externally
  • Very strong attention to detail
  • Strong power-point skills
  • Agility – an interest in working in a dynamic environment and on different types of projects in the capital markets arena


Desirable skills:

An ability to work  under pressure within an ambiguous environment






For more information contact Jemma Graffin

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

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