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Manager, Regulatory Advisory, Corporate & Investment Banking

Salary: £65 - £80K - London

This is an exciting opportunity to work as a Manager within a high growth team, playing a key role in supporting the development of a BIG 4 company. Travel will be required at times.

While economic recovery looks set to continue in the EU, the financial services sector is still facing tough challenges including, low interest rates, muted client activity, an escalating regulatory burden and intense supervisory scrutiny. This makes it an exciting opportunity to work within a high growth team, where you will play a key role in the support and development of this Big 4 company. 

 

The opportunity 

Our Client is dedicated to helping their clients navigate the ever changing and complex landscape.  Their Financial Services Risk Practice offers strategic and operational services aimed to improve 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 are looking for talented people to join them on the 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.

 

Their cross-border Regulatory Advisory team is made up of over 73,000 people, including 3520 partners, working across 12 Sub-Areas and 93 countries in EMEIA. The team brings together a breadth of core skills and experience to provide advice and help our global clients assess their options, improve operations and manage their risks as an enterprise wide discipline.  They work closely with regulators to help 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 Corporate and Investment Banking 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.

 

Your key responsibilities

 

As a Manager in the Corporate and Investment Banking team, 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
  • Develop ideas to expand the company's current offerings and initiate discussions with clients.
  • 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

Our client offers an extended range of training courses from technical to ‘soft skills’ building out their client and market experience and making them stronger and better individually.   As  part of this company you will be encouraged to grow and develop throughout your career.

The multi-disciplined teams work on a wider variety of clients and engagements cross-border to provide the clients with a consistent level of service and quality. As a result you will be required to travel, sometimes at short notice and sometimes for lengthy periods of time.

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

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

Senior Consultant, Regulatory Advisory - Corporate & Investment Banking

Salary: £45 - £65K - London

This is an exciting opportunity to work as a Senior Consultant within a high growth team, playing a key role in supporting the development of a BIG 4 company. Travel will be required at times.

While economic recovery looks set to continue in the EU, the financial services sector is still facing tough challenges including, low interest rates, muted client activity, an escalating regulatory burden and intense supervisory scrutiny. This makes it an exciting opportunity to work within a high growth team, where you will play a key role in the support and development of this Big 4 company. 

 

The opportunity 

Our Client is dedicated to helping their clients navigate the ever changing and complex landscape.  Their Financial Services Risk Practice offers strategic and operational services aimed to improve 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 are looking for talented people to join them on the 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.

 

Their cross-border Regulatory Advisory team is made up of over 73,000 people, including 3520 partners, working across 12 Sub-Areas and 93 countries in EMEIA. The team brings together a breadth of core skills and experience to provide advice and help our global clients assess their options, improve operations and manage their risks as an enterprise wide discipline.  They work closely with regulators to help 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 Corporate and Investment Banking 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.

 

Your key responsibilities

 

As an Executive in the Corporate and Investment Banking team, depending on experience and type of engagement, you will be responsible for the following:

Produce, with limited supervision, complete and accurate work.  Build credible relationships with clients both by demonstrating technical skills and knowledge and also by handling complaints and customer redress appropriately.

  • Provide a variety of support on client campaigns from researching new regulations to assisting effective business implementation. 
  • Develop presentations that are clear and impactful, translating the company's services into meaningful value propositions for clients.
  • Document collation and review– evidencing paper trail of transactions and analysing legal and other documents to identify key facts, anomalies, etc, for categorisation
  • Data input and reporting– of key information into spreadsheets and/or proprietary systems, by conducting detailed and summary analyses (by transition, time period or categorisation).
  • Contract reviews – analysing if requirements are adequately defined and documented.
  • Regulatory remediation and quality compliance testing.

 

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

Our client offers an extended range of training courses from technical to ‘soft skills’ building out their client and market experience and making them stronger and better individually.   As  part of this company you will be encouraged to grow and develop throughout your career.

The multi-disciplined teams work on a wider variety of clients and engagements cross-border to provide the clients with a consistent level of service and quality. As a result you will be required to travel, sometimes at short notice and sometimes for lengthy periods of time.

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

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

Senior Manager, Business Change & Conduct Group

Salary: £80 - £120K - London

This is an exciting opportunity to work as a Senior Manager within Business Change & Conduct and playing a key role in supporting the development of a BIG 4 company.

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.

 

Background

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

 

Responsibilities:

  • Leading and contributing to development of new business relationships and business proposals
  • Managing a Banking and Capital Markets client delivery portfolio reporting to the Director/Partner Group
  • Driving and delivering business and regulatory change programmes
  • Leading engagement teams of up to 10 staff
  • Managing and building day-to-day client relationships across a complex network of stakeholders and management structures
  • 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:

  • 7 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 significant complex change/client engagements
  • Exceptional client relationship, stakeholder management and inter-personal skills, with a proven track record of dealing and influencing senior 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



 

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

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

Manager, Business Change & Conduct Group

Salary: £50 - £70K - London

This is an exciting opportunity to work as a Manager within Business Change & Conduct and playing a key role in supporting the development of a BIG 4 company.

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.

 

Background

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

 

Responsibilities:

  • 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


 

 

 

 

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

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

Senior Associate, Business Change & Control Group

Salary: £35 - £50K - London

This is an exciting opportunity to work as a Senior Associate within Business Change & Conduct and playing a key role in supporting the development of a BIG 4 company.

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.

 

Background

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

 

Responsibilities:

  • Contributing to development of business proposals
  • Supporting on delivery of a Banking and Capital Markets client delivery portfolio reporting to the Manager Group
  • Delivering allocated work-streams on business and regulatory change programmes under the review of a manager
  • Managing and building day-to-day client relationships across a network of stakeholders internally and at clients
  • Managing junior 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:

  • 3 yrs+ experience of working within established professional services/consulting organisations or banks specifically focussed on regulatory/business change and/or front to back trading governance, risk and controls.
  • A proven track record of successfully supporting work-streams within change/client engagements
  • Strong client relationship, stakeholder management and inter-personal skills, with a good track record of dealing with stakeholders
  • Good commercial awareness, sound reporting skills and the ability to work under your own initiative
  • Strong oral and written communication skills (ie report writing)
  • The ability to apply good judgement during engagements and to support conclusions reached to more 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:

  • Ability to work  under pressure within an ambiguous environment
  • Relevant qualification – ACA, CFA etc

 



 

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

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

Corporate Intelligence Compliance Senior Manager

Salary: £70k - £90K - London

The Team The Corporate Intelligence (CI) department is an expanding part of this client's Risk Consulting services. The CI Compliance practice focusses largely on helping clients manage third party risks, utilising market leading technological research solutions. The broader CI team helps clients address a variety of integrity and regulatory risks from market entry and M&A to KYC and supply chain risk management. The team provides litigation support and supports the clients other service lines, in particular investigations, restructuring and strategy.

 

The Role

We are seeking a Senior Manager to join the CI Compliance team in our London office to provide the following:

Overseeing the CI Compliance practice (reporting internally to multiple stakeholders);

Managing client engagements in support of compliance requirements (e.g. ABC risks) and third party risk management; and

Business development with a specific focus on market leading third party due diligence technology.

The role will be focussed on client and team management and business development. You will be required to lead projects and services in areas such as:

Third party risk management (including anti-bribery and corruption risks);

Business development for wider CI services in addition to business development with a specific CI Compliance focus.

Responsibilities:

Your role will include the following:

Enhancing the team’s network of contacts and understanding of regulatory drivers and business risks/opportunities;

Managing existing project teams (cross-jurisdictional) and client relationships;

Understanding in detail the client's third party due diligence technology and becoming a key member of the business development team for this;

Identifying enhancements to third party due diligence technology based on regulatory drivers and client insight;

Working with multiple internal stakeholders (e.g. specific Engagement Partners and the head of Corporate Intelligence) to target prospective clients, develop new sales opportunities and convert these opportunities into won business;

Assisting with other business development activity such as marketing initiatives and thought leadership, including presentations to internal and external audiences;

Preparing client proposals and taking responsibility for managing invitations to tender or similar requests for information from prospective clients;

Running projects, from scoping to delivery, with minimal supervision from Directors and Partners;

Supervising, motivating and managing the performance of junior members of the team;

Ensuring that projects are delivered to deadline, within budget and in compliance with their risk management protocols, regulatory obligations and ethical standards; and

Identifying opportunities for increased collaboration with other service lines and supporting internal and external marketing efforts.

The Person

Experience of managing (and often leading) senior client relationships with minimal oversight;

A deep technical understanding of the regulatory issues that lead clients to seek CI Compliance services;

Experience leading large scale projects;

A demonstrable track record of winning new business and generating incremental revenue;

An existing network of relevant client relationships at senior levels in a range of corporate and financial sectors;

Ability to cope effectively in pressured sales situations; Excellent English written and verbal communication skills;

Experience of drafting reports and other deliverables suitable for presentation to a client;

Ability to understand and manage the risks and financials associated with client engagement;

A tenacious, driven and self-motivated approach;

Strong people skills - ability to help others set their goals, inspire and develop junior colleagues;

 

Highly motivated to pursue a rewarding career in Forensic and Risk Consulting.

 

Like to talk to someone about this job?

For more information contact Emilia Thomas

Candidate Manager
Phone: 01732 746 668
Email Emilia

The Corporate Intelligence (CI) department is an expanding part of this client's Risk Consulting services. The team helps clients address a variety of integrity and regulatory risks in different contexts, from market entry and M&A to KYC and supply chain risk management. The team provides investigations and litigation support and works closely with other service lines, including Strategy and Restructuring.

 

Responsibilities

We are seeking a Senior Manager to join the team in our London office to provide maternity cover and help develop our Strategic Intelligence work. The role will be focused on project and team management, business development and sales.

As a Senior Manager, focused on Strategic Intelligence work, you will be required to win and lead projects and services in areas such as:

• Market-entry risk assessments;

• Market and business intelligence;

• In-depth integrity due diligence;

• Political and country risk due diligence and analysis;

  • Stakeholder mapping.

Responsibilities:

Your role will include the following:

• Working with multiple internal stakeholders (e.g. specific Engagement Partners and the head of Corporate Intelligence) to target prospective clients, develop new sales opportunities and convert these opportunities into won business;

• Assisting with other business development activity such as marketing initiatives and thought leadership, including presentations to internal and external audiences;

• Preparing client proposals and taking responsibility for managing invitations to tender or similar requests for information from prospective clients;

• Running projects across the service lines noted above, from scoping to delivery, with minimal supervision from Directors and Partners;

• Supervising and managing the performance of junior members of the team;

• Ensuring that projects are delivered to deadline, within budget and in compliance with the Company's risk management protocols, regulatory obligations and ethical standards;

The Person

Experience and Qualities: 

• Experience of working in the corporate intelligence, political risk and strategy fields;

• Experience of managing (and often leading) senior client relationships with minimal oversight;

• A deep understanding of the issues that lead clients to seek Corporate Intelligence services;

• An existing network of relevant client relationships at senior levels in a range of corporate and financial sectors;

• Experience in a project/case management role, preferably having worked in emerging markets and specialised in a specific geographic region;

• A demonstrable track record of winning new business and generating incremental revenue. The successful candidate will be expected to be responsible for generating their own leads and setting their own appointments;

• Ability to cope effectively in pressured sales situations; Excellent English written and verbal communication skills;

• Experience of drafting reports and other deliverables suitable for presentation to a client;

• Ability to understand and manage the risks and financials associated with client engagement;

• A tenacious, driven and self-motivated approach;

• Strong people skills - ability to help others set their goals, inspire and develop junior colleagues;

 

• Preference for fluency in more than one language.

 

Like to talk to someone about this job?

For more information contact Emilia Thomas

Candidate Manager
Phone: 01732 746 668
Email Emilia

RegTech Consultant/Pioneer

Salary: up to £75k - London

I'm looking for a Compliance/Regulatory professional to utilise their industry experience to pioneer and present a RegTech product into the market. This is quite a unique position within a well-funded start-up, founded in 2011, to transform the way global financial institutions go about their compliance by leveraging Regulatory Content on the Open Web.

 

I'm looking for a Compliance/Regulatory professional to utilise their industry experience to pioneer and present a new RegTech product into the market

This is quite a unique position within a well-funded start-up, founded in 2011, to transform the way global financial institutions go about their compliance by leveraging Regulatory Content on the Open Web. Providing an automated approach to identifying, analysing and monitoring global regulatory requirements to automate risk and compliance processes, establishing the world's first automated Regulatory Data Service that monitors every regulatory source globally.

Currently in the midst of a period of rapid growth with offices in the UK, USA and Australia serving customers across top tier global banks, insurers and asset managers in over 150 countries.

Recently listed as a "RegTech Top Performer" in Market Fintech's 2017 RegTech Supplier Performance Report and is pioneering the development of machine automated compliance.

The Role:

The Champion team supports customers during both pre-sale and post-sale engagements and you will act as the main point of customer contact during their relationship with this exciting company.

  • Manage the delivery of product demonstrations, customer proof of concepts and product roll-out, from initial discussions through to successful delivery.
  • Ensure customer needs are established, fully qualified, documented and articulated to support effective delivery of objectives and requirements.
  • Collaboration with internal stakeholders to plan required resource, develop and agree measurable objectives and monitor progress through to delivery.
  • Delivery of in person product training as required both internally and externally by customers.
  • Support customers with the successful deployment of the product and establish opportunities to increase value within their organization.
  • Support customer change management activities to support effective deployment of solutions.

About you:

You will have extensive knowledge of the regulatory landscape within financial services either within in a financial institution, consulting business or Technology Company. Ideally you will demonstrate the following experience:

  • Track record of overseeing successful deliverables across multiple projects within agreed deadlines.
  • Ability to build and maintain relationships with both internal and external stakeholders.
  • A logical approach to problem solving and analytical skills.
  • Ability to get things done.
  • Excellent communicator both written and verbal.

 

Like to talk to someone about this job?

For more information contact Mark Holmes

Managing Director
Phone: 01732 746 668
Email Mark

Retail Banking Compliance Senior Manager

Salary: £70k - £100K - London

We are specifically looking for candidates to join our client's regulatory conduct, compliance and lending practice. You would join a team who 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 clients. These services can be in the form of regulatory/consulting advice, implementation support or controls review and recommend reports.

 

Below are some of the types of work you could be involved in:

  • Governance arrangements, compliance and risk management

  • Regulatory authorisations

  • Conduct risk management frameworks and MI

  • Sales practices and customer journeys

  • Mortgage lending and advice

  • Consumer credit lending

  • Complaints and arrears handling

  • ​Past business reviews / customer redress schemes

 

Responsibilities include:

  • Contributing to development of new business relationships and business proposals

  • Managing a client delivery portfolio reporting to the team Director and Senior Managers

  • Delivering business and regulatory programmes

  • The role will provide you with experience of working with a wide variety of financial services clients, where you can demonstrate your understanding of regulatory requirements and approaches to project and programme delivery. 

  • 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


Experience required:

  • Significant experience of working within professional services/consulting organisations, financial services firms, or regulators including experience of one or more of conduct of business, customer outcomes, mortgages, consumer credit

  • Leadership skills with a proven track record of successfully leading work-streams

  • 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

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

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

Compliance Monitoring Analyst

Salary: £55k - London

Compliance Monitoring team is part of the Compliance function and plays a vital role in monitoring compliance with regulatory, legal, ethical, conduct and best practice requirements by carrying out a formal risk-based programme of independent compliance monitoring reviews as part of the annual Compliance Monitoring Plan and by conducting periodic testing as part of an ongoing Compliance Assurance Programme. This is a London based role paying up to £55,000

 

Job Purpose

To execute periodic testing as part of the Compliance Assurance Programme and to conduct Compliance Monitoring reviews in accordance with an annual Compliance Monitoring Plan approved by the Board Risk Management Committee.

 

Key   Responsibilities

 

Reporting to and working closely with the Head of Compliance Monitoring in London, responsibilities will include:

Executing periodic Financial Crime and Regulatory Compliance Policy and Control testing and deep-dive thematic and desk Compliance Monitoring reviews in accordance with the compliance monitoring methodology. This will include:

Analysing applicable regulatory requirements;
Developing understanding of Bank’s compliance and regulatory risk management processes, procedures and controls;
Testing the adequacy and effectiveness of the Bank’s control frameworks for compliance with applicable regulatory requirements;
Preparing work papers to support the testing and review work performed and the conclusions reached;
Working with Business and Compliance colleagues to ensure that remediation plans are agreed for any control weaknesses identified;
Documenting the results of the review and testing in a formal report for senior management and Board Risk Management Committee;
Following up agreed corrective actions to ensure issues have been appropriately addressed;
Carry out other ad hoc reviews and investigations as requested by management.

Supporting the preparation of the annual risk-based Compliance Monitoring Plan and maintenance of the supporting compliance monitoring planning methodology.
Assisting in the development of a Compliance Assurance Programme that will expand the scope of the periodic testing of processes and controls.
Assisting in the development of the Compliance Monitoring testing library.
Engaging with members of various Business departments, Operations, Compliance and IT based in London and in international locations as part of the review and testing mandate.
The position is based in London. There may be an occasional need to undertake assignments in overseas offices.

 

 

Preferred Qualifications and Experience

 

 

2+ years of previous practical compliance monitoring or assurance experience – particularly risk based and thematic reviews or periodic testing of processes and controls;
Degree and/or industry qualification an advantage;
Alternatively a background in audit or operational risk would be desirable;

 

Knowledge, technical skills and experience:

Investment and Corporate Banking product and services knowledge;
Good knowledge of UK regulatory requirements and FCA Handbook;
Good undestanding of risk and control;
Analytical mathematical;
Good process improvement skills;
Strong report writing skills;
Good stakeholder management.

 

Personal attributes:

High level of integrity;
Delivery-orientated;
Excellent attention to detail;
Builds good relationships;
Hardworking, reliable and team-player

 

The role would suit someone who is:

A self starter;
Able to navigate complexity;
Logical thinker;

Able to see the big picture while paying attention to detail

 

Like to talk to someone about this job?

For more information contact Duncan Tout

Trainee Recruitment Consultant
Phone: 01732 746 668
Email Duncan

Conduct, Compliance & Operational Risk Manager

Salary: £80K - London

The Conduct, Compliance & Operational Risk (CCOR) team is part of the 2LOD and through delivery of proactive support and constructive challenge to the business seeks to gain comfort that risks are appropriately controlled to enable sustainable growth for the bank. The CCOR team has responsibility for business oversight and assurance activities in relation to Conduct & Compliance, and Operational Risk; in addition to implementing the Conduct Strategy, managing the People Risk Agenda, liaison with the regulators and managing Insurable Risks for the Group.

The Conduct, Compliance & Operational Risk (CCOR) team is part of the 2LOD and through delivery of proactive support and constructive challenge to the business seeks to gain comfort that risks are appropriately controlled to enable sustainable growth for the bank. The CCOR team has responsibility for business oversight and assurance activities in relation to Conduct & Compliance, and Operational Risk; in addition to implementing the Conduct Strategy, managing the People Risk Agenda, liaison with the regulators and managing Insurable Risks for the Group.

 

CCOR Markets is a relatively small team of professionals within CCOR focusing upon the activity undertaken by Financial Institutions, Global Corporates and CB Markets and also includes the Markets Operations and Trade Services area that supports these areas. Colleagues working in this area can expect to gain valuable insight and experience in the regulatory framework whilst increasing their risk management skill set through exposure to work on a number of key Group priorities. 

The OR Manager will primarily focus upon FI, GC and CB Markets, and will provide proactive support and constructive challenge to enable them to understand and meet their operational risk obligations. 

Primary responsibilities: 

• Establish strong relationships across FI, GC and CB Markets with both the business and CBCF 
• Review and assess the continuous risk assessment activities undertaken to identify, assess, monitor and control operational risks including Risk Appetite, RCSA, KRIs, Risk Events, Scenario Analysis and Data Validation. 
• Review the completeness and accuracy of risks and controls identified and provide the necessary challenge where they are not consistent with 2LOD views. 
• Undertake deep dives to assess the control environment. 
• Review and assess New Product Approvals (or other such initiatives) and challenge where information is inconsistent with 2LOD views. 
• Collaborate with other CCOR Markets colleagues to enable a front to back view of risks and controls to be formed across businesses. 
• Provide support to the wider CCOR teams with regards to new projects and work streams as required. 

Experience and qualifications: 

• Degree (or equivalent) educated. 
• Significant financial services operational risk experience, preferably within a commercial banking environment. 
• Good knowledge of cash and derivatives products covering Rates, Credit, FX, Loans and Deposits. 
• Good front to back process and control knowledge. 
• Good Operational Risk Framework knowledge. 
• Understanding of the three lines of defence model of risk management.

 

Like to talk to someone about this job?

For more information contact Duncan Tout

Trainee Recruitment Consultant
Phone: 01732 746 668
Email Duncan

Our client is looking for a compliance manager with experience with an investment management firm. Ideally they want someone with some management experience that can interact with the business, enhance the compliance monitoring activities and plans etc. The department has fair amount of financial promotions work -so someone experienced but commercial in that area would be ideal. Key points: -Investment management experience -Managerial Experience -Financial promotions experience

 

Role and key responsibilities

We are seeking an individual to assist with day-to-day activities and planning for the future within our fast-moving business. The candidate will develop links across various departments and external counterparties, and assist with ensuring that all compliance functions are completed accurately, efficiently and in a timely manner.

You will be responsible for managing a team of 3.

Reviewing financial promotions to ensure they are in line with the FCA rules.
Review and implementation of regulatory changes, so far as they affect the firm.
Assisting with the compliance monitoring programme.
Assisting with the maintenance of compliance related manuals.
Assisting with FCA related compliance queries from Downing staff.
Carrying out duties in relation to personal account dealing and gifts and entertaining.
Assisting with the maintenance of the breaches register, the complaints register, the financial promotions register, and the gifts and entertainment register.
Monitoring real time financial promotions to ensure that they comply with FCA’s requirements.

 

Key skills and attributes

The ideal candidate will have the following:

Strong attention to detail.
Good initiative with a proactive attitude to work.
A strong analytical mindset. 
Good business awareness. 
Strong customer focus skills

Management experience is essential

The ability to work effectively within a team and collaborate with the wider business.
Excellent planning and organisation skills, and the ability to prioritise a busy workload.
Strong verbal and written communication skills.
The ability to work well under pressure

Personal profile

 

Eloquent – you can explain complex things in simple, relevant terms, and in good English.
Customer oriented - you are approachable, friendly and professional whilst working diligently. Nothing is too much trouble. 
Passionate about what you do -  you are always happy to roll up your sleeves.
Assertive and focus on execution – you make things happen.
Creative – you think outside the box. Everything can be improved and we want someone who is confident putting forward new ideas.
Team player – have fun! We do our best to cultivate an open, honest, hard-working but fun culture at Downing.

Pay/benefits

 

For the successful candidate, we will put together an attractive reward package that will include:

 

Competitive salary dependent on experience and qualifications
Discretionary bonus
Pension scheme
Health insurance
Life assurance
Income Protection
Death in service
Additional social perks

 

 

 

Like to talk to someone about this job?

For more information contact Duncan Tout

Trainee Recruitment Consultant
Phone: 01732 746 668
Email Duncan

Head of Compliance UK - Corporate Bank

Salary: attractive base salary plus high bonus opportunities - London

This is an excellent opportunity for you to lead the compliance function of a CIB business (mainly trade finance) in London and help grow the business. We’re looking for a commercially minded compliance professional that can lead the team, put in place a best in class compliance structure, develop a great regulatory relationship and sit on the exco and help drive forward growth.

This is an excellent opportunity for you to lead the compliance function of a CIB business (mainly trade finance) in London and help grow the business. We’re looking for a commercially minded compliance professional that can lead the team, put in place a best in class compliance structure, develop a great regulatory relationship and sit on the exco and help drive forward growth.

 

~~Key responsibilities:
• Lead and own all Compliance activities for London branch, ensuring alignment with local regulatory requirements for all UK activities and business including concise, accurate and relevant compliance reporting including whistle blowing, breach reporting and reporting of suspicious activities, and complaints handling (as applicable).
• To assist senior management in embedding a strong compliance culture
• Develop and implement a risk-based Compliance Monitoring Programme (CMP), ensure reviews are appropriately implemented and performed.
• To keep up to date on relevant regulatory developments in the UK and to review changes to regulation, analyse impact for the Bank and advise the Country and Group Management on changes necessary to meet new or revised regulatory requirements. 
• Act as an advisor to the London business operations and provide guidance, advice and support in relation to all regulatory matters applicable to UK and ensure continued technical understanding of the activities and regulations.
• Functional responsibility for the MLRO function and, in particular, ensuring that London Branch i) complies with the Group’s AML and Sanctions Policies by undertaking Monitoring and Screening of Transactions and Customers/Other relevant parties respectively, ii) all staff are appropriately knowledgeable/trained on AML and Sanctions requirements, and iii) that the UK has effective Financial Crime policies in place, including due diligence on customers (as well as on-going CDD).

Your background:
• Relevant business experience in Compliance in the Financial Services Industry with certification in compliance Financial Crime matters
• Collaborative and a team player with an ability to make commercial/pragmatic decisions that support the controlled growth of the business
• Excellent communication skills and ability to handle challenging situations at the highest stakeholder levels internally and with external contacts (e.g. Regulators)
• Excellent understanding and knowledge of local regulations and international Compliance practices.
• Strong analytical, interpersonal, communication and facilitation skills with proven leadership skills
• Proactive, with the ability to generate ideas, think creatively and develop innovative solutions
• Strong stakeholder & relationship management skills

 

Like to talk to someone about this job?

For more information contact Mark Holmes

Managing Director
Phone: 01732 746 668
Email Mark

Reg Tech Client Account Director

Salary: £100K - London

Fantastic opportunity to work with a leading RegTech firm utilising your regulatory knowledge to manage & develop key accounts.

Fantastic opportunity to work with a leading RegTech firm utilising your regulatory knowledge to manage & develop key accounts.

 

~~The position is broad and covers the following:

* Project manage rollout of compliance automation software

* Account manage core customers

* Work alongside sales team to develop clients and proposals


Experience:

Understanding of Regulation & Compliance

Interest in Compliance automation of policies and process

Software rollout PM an advantage

Experience as a consultant or in-house position

 

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

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

Fixed Income Rates Advisory

Salary: £60k - £80K - London

Provide advisory Compliance coverage and compliance support primarily for the London G10 Rates (“G10R”) and Asset & Liability Management – Treasury (“ALMT”) businesses, as well as to GMAT (Global Markets ALMT) and xVA, as part of the Markets Compliance team coverage.

To promote the Compliance programme in relation to new activities, transactions, other compliance arrangements, and implementation and management of relevant global policies, codes of conduct and new regulation.   To assist in procedure creation and setting, regulatory watch and relationship with local regulators.

Key Responsibilities

  • Provide day to day compliance support and advice to the G10R, ALMT & xVA businesses and their senior management, on a range of topics including new transactions, products and business activity.
  • Contribute to the definition and implementation of monitoring procedures to identify actual or potential market abuse scenarios, insider dealing activities, conflicts of interests arising, benchmark manipulation and other compliance risks
  • Provide support and to assist in carrying out compliance of the business areas in scope.
  • Dealing with and answering regulatory and exchange trading related questions and enquiries that arise.
  • Contribute to, and represent the Compliance view at new activity / transaction approval committees, when requested to do so.
  • Contribute to the relationship with local Regulators in support of Compliance Management.
  • Advise the business on the impact of exchange rules, regulatory changes, codes of conduct and the like.
  • Contribute to the design and delivery of compliance training for the businesses in scope.
  • Ensure appropriate record keeping of advice given and provide Management Information.

Compliance Advisory

— Provide Compliance advice to all levels of the business on Compliance policy and procedures, as directed by the Head of UK Compliance and in accordance with the compliance general policy of the Group and CIB

— Provide advice on compliance issues related to transactions, products, benchmarks, regulatory matters to the businesses covered (and saving of records of advice provided)

— Oversee the application of compliance controls related to the framework surrounding transactions, products or businesses within the businesses covered (and saving of records of checks performed), including notably:

-   that analysis of transactions takes place according to Group and CIB norms, standards and processes

-   that there are in place procedures that seek to ensure an audit trail and a record of transaction analysis

— Share Compliance intelligence (lessons learned, regulatory change etc) with the Head of Markets Compliance and, where relevant, the Head of UK Compliance and appropriate Global Heads of Compliance on local laws and regulations impacting their areas of concern.

— Contribute to the new business, new transaction and index/benchmark committees (TAC, NAC, IAC and others) as necessary (including via pre-NAC and TAC processes), liaising as relevant with the CIB Compliance Transversal Team to prepare TACs on cross-border transactions

— Alert the Head of Markets Compliance and the Head of UK Compliance of all significant and urgent compliance matters/issues and, where appropriate, systematic escalation of all significant transactions / arrangements to senior Compliance management.

— Contribute to the relationship with the FCA, PRA and other regulatory bodies in support to the Head of UK Compliance

— To provide input to compliance-related reporting to the Head of UK Compliance, and as relevant Global Heads of Compliance, in accordance with Group or CIB Compliance templates and on timely basis

— To be aware on an on-going basis of key applicable laws and regulations and market practices through reading, training

— Actively contribute to Conduct and Operational Risk committees and other control committees.

— Oversee the implementation of regulatory change in the businesses covered and across the broader Global Markets business.

— Produce Management Information and updates.

— Provide support and backup to other Fixed Income Compliance Officers with in the Markets Compliance team, as and when needed.

 

Market Conduct

— As appropriate to seek to implement Regulatory, Group and CIB standards to prevent market abuse and to ensure high standards of market conduct:

o   In collaboration with the relevant Compliance team, to contribute to the definition and implementation of monitoring procedures to identify actual or potential market abuse scenarios, insider dealing activities, conflicts of interest, benchmark manipulation and other compliance risks

o   In collaboration with the relevant Compliance team, to contribute to the definition and implementation of monitoring procedures to check that customers are treated fairly, in accordance with Group and CIB standards and local regulations, in relation to the execution of their orders and/or the terms and conditions of their transactions

o   To assist the Control Room as appropriate by seeking to ensure that the business provides information to allow for the maintenance and update of the conflicts register, watch list, restricted list and insider lists, and to work with Control Room and the business as appropriate to seek to ensure that Information Barriers are satisfactorily set up and maintained

 

Professional Ethics

— Where appropriate, to assist the Head of Compliance Training in compliance awareness-raising and information towards relevant staff in the UK, including for example via:

-   providing orientation on compliance issues to new employees

-   contributing to the design and delivery of compliance training

-   Where appropriate, to assist the PA Dealing/Outside Business Interests Officer with the implementation by the business of the relevant Group, CIB and UK requirements

 

Day-to-Day CIB Compliance Operations

— To assist in the appropriate implementation of Group / CIB and other policies and procedures

— To help ensure the delivery of day-to-day operational compliance activities in the Territory (including putting in place appropriate systems/processes to manage compliance risks, execution of compliance operational permanent controls, internal investigations on compliance matters, etc.).

— Where appropriate, to assist the Control Room in enhancing/implementing policies and procedures relating to the management of conflicts of interest and the management of confidential information - and ensuring that the business lines understand and observe these requirements.

 

Committees

— As required, to contribute to committees by representing Compliance.

 

Risk Identification and Management Tools

— Contribute to the set up, implementation and operation of risk identification and management tools designed by Group, CIB Compliance & Control Functions, and UK Compliance.

 

Financial Security

— Contribute to the implementation within G10 Rates and ALMT of Regulatory, Group and CIB standards against money laundering, fraud, corruption, terrorism, etc.

 

Projects and Initiatives

— As directed, to contribute to UK, regional or global projects with a view to ensuring that they are delivered effectively and efficiently

 

Legal and Regulatory Responsibilities

Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to, the London Compliance manual and Compliance policies and procedures as issued from time to time; Financial Crime Prevention requirements, including, but not limited to, the prevention of Financial Crime and Fraud including reporting obligations to the Money Laundering Reporting Officer.

Maintain appropriate knowledge to ensure to be fully qualified to undertake the role. Complete all mandatory training as required to attain and maintain competence.

 

Essential Experience

 

Skills & Knowledge Requirements

Sound knowledge of UK and EU regulatory rules and their practical application to a commercial business.

Sound knowledge of fixed income products (particularly Rates, Treasury activity and benchmarks) and in the relevant product areas described above.

Good understanding of MiFID II and the EU Benchmark Regulations.

An understanding of valuation adjustments.

Good understanding of the Compliance risks and ability to research and present advice on current regulatory topics.

Experience of trading floor environment coupled with first class oral and written communication skills to interact with front office personnel and management.

 

 

Like to talk to someone about this job?

For more information contact Jake Wyatt

Associate Director. Recruitment
Phone: 01732 746 668
Email Jake

Prudential Regulation Senior Manager

Salary: £70k - £100K - London

This role is at a Big 4 firm working on their Prudential Regulation projects. The role offers a dynamic place to work, varied opportunities and exposure to top tier firms across financial services.

 

The prudential regulatory regime continues to evolve with developments such as CRDV and 'Basel IV' as well as in recovery and resolution planning, creating continued demands on the Regulatory, Risk and Finance teams in banks and investment firms. 

We are looking for candidates who have detailed regulatory technical knowledge and experience, including the associated technical rules and guidance, in one of the following:

  • Credit, counterparty credit and/or market risk regulatory capital requirements.  This may also include the associated regulatory reporting ( e.g. PRA and COREP returns); or
  • recovery and resolution planning.

As a Senior Manager, you'll work as part of a team of problem solvers and extensive consulting and industry experience, helping clients solve their complex business issues from strategy to execution.  Specific responsibilities are:

  • being a member of and leading teams on large and small engagements - working as part of a prject team on client sites and day-to-day liason with clients
  • identifying the impact of prudential regulatory change
  • working on projects relating to various components of credit, counterparty credit and/or market risk or recovery and resolution planning
  • providing rudential SME technical support to firms going through the authorisations process
  • providing riak analysis and reports.

Technical skills required:

  • detailed understanding of the overall credit and/or counterparty credit risk management lifecycle and associated credit/counterparty credit risk
  • detailed understanding of trading books and market risk requirements
  • deep technical experience and expertise in existing and future regulation
  • hands on experience of IRB, SA-CCR, IMM and VaR
  • good understanding of the Bank Recovery and Resolution Directive

 

Like to talk to someone about this job?

For more information contact Jemma Graffin

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

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