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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

Compliance Policy & Advisory

Salary: £60 - £70K - London

This role sits within the Compliance team and provides assurance to the business on its systems and controls, particularly in respect of market abuse.

 

Duties and responsibilities

Policy:

  • Establish and maintain the following to ensure that regulatory requirements are adhered to including FCA rules, Rules of the LSE, Takeover Panel rules etc and has appropriate systems and controls:
    • Compliance Manual
    • Compliance Policies
    • Compliance Procedures

 

Compliance Training:

  • Arrange appropriate training for employees to ensure that they are aware of their responsibilities in relation to the Compliance Manual and Compliance Policies (including induction of new employees and ad hoc training)

 

Horizon Scanning:

  • Monitor and assess the impact of regulatory and legislative developments impacting business areas, disseminate to team and advise the Head of Compliance and the Compliance team on potential responses
  • Review regulatory consultation papers and respond as agreed by the Board

 

Breaches and Complaints:

  • Undertake breach investigation and escalate findings
  • Assist with the management of client complaints in accordance with DISP and undertake investigations in relation to such complaints and escalate findings
  • Assist with the route cause analysis of breaches and complaints and propose remedial action including arranging appropriate training
  • Contribute to responses to s165 requests as required
  • Any other duties as required from time to time.

 

 

Experience Required

  • Minimum 3 years of compliance experience within the investment banking / broking sector
  • Proven Compliance experience

 

Qualifications Required

  • Educated to degree level
  • Relevant CISI level 3 qualification or equivalent

 

Skills Required

  • Good understanding of Corporate Finance, Corporate Broking and Trading
  • Knowledge of the UK regulatory framework including but not limited to FCA Rules and Guidance including SYSC, COBS, MAR etc
  • Knowledge of associated statutory legislation including UK Money Laundering Regulations, Bribery Act
  • Excellent verbal and interpersonal communication skills
  • Excellent written English
  • Accuracy and attention to detail
  • Strong analytical skills
  • Strong IT skills including Intermediate MS Office skills: Outlook, Work, Excel, Powerpoint
  • Highly organised
  • Strong team player
  • Confident, professional and reliable
  • Able to work under pressure and multi-task

 

Like to talk to someone about this job?

For more information contact Duncan Tout

Trainee Recruitment Consultant
Phone: 01732 746 668
Email Duncan

Financial Crime Compliance Officer / AVP

Salary: up to £70k - London

.A great opportunity to join a London based Investment firm providing sound regulatory advice.

Introduction:

I’m looking for a bright mind to join a key client of mine based in the City of London. They’re a full scope investment firm that is regulated and authorised by the UK Financial Conduct Authority ('FCA').

As an overview, it’s financial crime unit covers several compliance disciplines and has responsibility for governance, oversight and execution of the firm's AML, economic sanctions, anti‐fraud, anti‐bribery and anti‐corruption. It develops appropriate policies, procedures, including those designed to assist the business to know their customers and conduct appropriate due diligence to prevent, detect, and report potential suspicious activity.

 

Key Job Functions:

The key job function is providing sound regulatory and practical advice on all matters relating to financial crime prevention, including, but not limited to, assessing the requirements and controls for countering financial crime; planning, implementing and reviewing policies and procedures to counter financial crime, as well as reviewing alerts, conducting research, finding suspicious activity, drafting and filing reports.

 

Responsibility and Authority:

The major activities which comprise the job are:

  • Maintaining high standards in delivering key job function;
  • Owning tasks and leading through to completion;
  • Maintaining lists and logs;
  • Answerable for correct and thorough completion of his/her individual task and deliverable

The team consists of seven full‐time employees, including the Head of Financial Crime Compliance/Deputy MLRO.

 

Specific Experience and Qualifications:

  • Strong knowledge of financial crime compliance regulations in the UK;
  • Meticulous attention to detail;
  • Previous experience of providing staff with constructive feedback;
  • Have the ability to effectively handle a fast paced environment and work to tight deadlines; be able to re‐prioritise work in response to changes in business needs, without compromising standards;
  • Be able to recognise and escalate risks and issues appropriately;
  • Strong understanding of risk factors associated with business relationships and capital markets products.
  • Strong understanding outcomes and success criteria of customer due diligence;
  • Experience in unfolding diverse complicated corporate structures;
  • Good understanding of sanctions regimes;
  • Strong understanding impact of adverse media and PEP/RCA exposure on counterparty risk profile;
  • Strong communication skills adopting the style and approach to the audience and message to be delivered;
  • Quick learning and strong understanding of policies, procedures, systems, processes of SMBB Nikko Capital Markets Ltd;
  • Achievement orientation ‐ focusing efforts on achieving high quality results consistent with the organisational standards;
  • Fast learner and ability to apply new skills effectively.

 

Key Skills & Abilities:

  • Degree educated or equivalent
  • At least 5 years’ experience of AML/Financial Crime Compliance in a securities house, broker dealer and/or wholesale banking
  • Understanding of capital markets products and services

Additional skills required:

  • Strong analytical thinking and critical reasoning skills;
  • Possess the ability to research and resolve issues independently while working across teams to acquire information;
  • Excellent verbal and written communication skills;
  • Strong technical skills as well as interpersonal and organisational skills;
  • Ability to work independently and as part of a team;
  • Highly articulate and able to apply new skills effectively;
  • Able to multi‐task and prioritise multiple projects;
  • Able to build relationships and have good rapport with stakeholders.

 

Like to talk to someone about this job?

For more information contact Mark Holmes

Managing Director
Phone: 01732 746 668
Email Mark

Senior Business Analyst - Regulatory

Salary: £500 p/d - London

The successful candidate will be responsible for analysis of various regulatory rules and assessment of current technology/process against the regulatory requirements to define the impact statement, create business requirements document and define /propose technology/business process solution that would need to fulfil in order to be compliant with these regulatory requirements. This role can be either a fixed term 6 month contract paying 60-70k or a normal contract with a day rate of 500-600 per day

 

The ongoing accountabilities will include:

  • Analyse various regulatory requirements and document their impact on relevant technology systems and business processes in order to be compliant with the regulatory rules.
  • Ensure stakeholders have sufficient understanding of the subject to enable informed decision making.
  • Proactively draw out and document requirements, information and assumptions (implicit/explicit) from stakeholders using a variety of tools and techniques.
  • Manage changes to requirements throughout the project life cycle.
  • Ensure and validate that the stakeholder’s needs have been understood and correctly captured/documented.
  • Ensure business requirements are traceable to the impact, final design and solution
  • Analyse and document workflows, requirements, and other material to ensure clear communication of complex business concepts and scenarios.
  • Be committed to staying up to date with current industry, regulatory and market developments
  • Capture assumptions, constraints, dependencies, issues, and or risks impacting projects.
  • Interface with Legal, Compliance, Front Office, Middle Office, and Back Office in all aspects of business requirements gathering and development.
  • Generate effective ideas, approaches, and propose solutions to complex problems & opportunities
  • Propose options/ alternatives to align requirements with scope/ objectives/strategies/ needs using the appropriate level of detail for the audience/ issue.
  • Demonstrate ability to communicate effectively, including facilitation of client workshops and delivery of compelling presentations.
  • Experienced in supporting large/complex business projects, which includes negotiation and coordination with key stakeholders and other groups concerning project issues, meeting aggressive timelines and deliverables.
  • Demonstrate strength in facilitating, creating, and presenting in a large group setting; can present complex ideas in an effective manner.
  • Accountable for the accuracy of analysis, documentation, test results, and quality of assigned deliverables.

 

 

  • § Identify changes in scope of work, related to requirements and ensure appropriate controls are applied.
  • § Assist/contribute to other project roles.
  • § Participate in knowledge transfers to improve the team’s effectiveness.

 

Qualifications / Skills / Experience

  • 5+ years of relevant industry experience in business analysis and project work environments.
  • Good understanding of OTC and Exchange Traded Derivatives, their end to end trade life cycle, including associated processes and technologies.
  • Good knowledge of Front Office, Middle Office, and Back Office functions, and their role in supporting the trade lifecycle.
  • Understanding of change management and delivery methodologies (e.g. PMLC, SDLC, BPM).
  • Awareness/Understanding of regulatory requirements for regulations impacting investment firms with a global footprint.
  • Good analytical thinking and communication skills; can deconstruct complex problems into individual components; can clearly articulate and logically walkthrough problems and solutions.
  • Expected to work with limited oversight and supervision.
  • Strong skills with MS Office products, particularly Visio, Excel, and PowerPoint.

 

Nice to Haves:

  • Experience in Market Abuse Regulation (MAR) and or Markets in Financial Instruments Directive II (MiFID II)

 

Specific Educational Requirements / Accreditations:

  • University degree in business, or related discipline
  • CFA, FRM, PRM nice to have

 

 

 

Like to talk to someone about this job?

For more information contact Duncan Tout

Trainee Recruitment Consultant
Phone: 01732 746 668
Email Duncan

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 Deborah Kinlay

Senior Consultant
Phone: 01732 746 668
Email Deborah

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 Deborah Kinlay

Senior Consultant
Phone: 01732 746 668
Email Deborah

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

Financial Crime SME's

Salary: £50K - £70k - London

Financial Crime SME's required to work for an award winning, exciting and fast-paced financial services (FS) financial crime team in London. The team is globally renowned and one of the largest financial crime teams in Europe. Delivering a large range of projects in the areas of Anti Money Laundering (AML), Sanctions, Transaction Monitoring, Anti-Bribery and Corruption (AB&C) and Market Abuse. We have great relationships with a large range of UK and international FS clients ranging from global banks to boutique investment houses.

 

The Role:

The successful individual will support the delivery of a range of financial crime projects.  Each project will generally incorporate a review and assessment of the current state of compliance, discussing matters directly with the client, proposing and delivering solutions and providing oral presentations.

A core part of the role will also include leveraging your industry contacts, skills and experience to contribute to winning work and knowledge sharing and practice development across the team. 

Our projects are often global and you are likely to work with colleagues from other member firms and from a variety of departments and backgrounds which also presents the opportunity to travel.  

Responsibilities:

As an Assistant Manager/Manager you will be expected to use your industry experience and expertise to formulate comprehensive and well considered solutions to clients’ challenges. All candidates are expected to show the following:

• Leading and developing relationships with client contacts across the FS industry;
• Leveraging your technical knowledge, experience and contacts to support the development of proposals and in generating new business for the firm; and 
• Contributing to the risk and commercial aspects involved in the delivery of projects including budgets, planning and project governance.

The Person

Knowledge/experience:

In addition, we are looking for individuals with at least one of the following specialist areas of expertise: AML, Sanctions, and Transaction Monitoring. Specific areas of responsibilities are set out for each of these below:

In order to be considered for the role, you must clearly be able to demonstrate that you meet the person specification and criteria.  Specific requirements for these are outlined in more detail below, divided into Technical Expertise, Soft skills / values, and Education and training. 

In your covering letter, please specify which of these technical capabilities you have and describe how your past experience demonstrates your level of skill.

Technical expertise:

• Held a role in the FS industry such as in the financial crime team in a bank, a similar role at a consultancy or in a relevant role at the regulator; 
• Enthusiasm and ability to develop relationships with prospective clients; and
• Substantial technical knowledge of the UK and European financial crime regulatory requirements and market practice of the following activities:

AML 
• Target Operating Model design and implementation; 
• Review and completion of financial crime risk assessments; 
• Review and assessment of policies and procedures, systems and controls; 
• Delivery of specific training;
• Preparing clients for regulatory visits;
• Managing regulatory enquiries, skilled person reviews and enforcement action; and 
• AML remediation activity.

SANCTIONS
• Target Operating Model design and implementation;
• Sanctions screening requirements, processes and technology;
• Review and completion of sanctions risk assessments;
• Sanctions look-backs and investigations; and
• Review and assessment of sanctions controls.
 
TRANSACTION MONITORING
• Target Operating Model design and implementation;
• Implementation, optimisation and tuning of systems; 
• Compliance and assurance testing; 
• Delivering training and/or facilitating workshops; and
• Examination of transaction and suspicious transaction reporting processes.

Qualification & Skills:

Soft skills / values

• Confidence to be able to quickly establish credibility with clients;
• Excellent verbal and written communication skills that can be tailored to a variety of audiences;
• Proven ability to work with diverse teams drawn from various parts of KPMG and backgrounds;
• Excellent analytical skills and problem solving, self-motivation and possess an enquiring mind; 
• A high degree of integrity and the drive and willingness to succeed; and
• Strong team ethos and ability to work efficiently and accurately under pressure.

Education and training

• Education to degree level or equivalent experience; and 
• Financial crime and/or relevant professional qualification is desirable.

Like to talk to someone about this job?

For more information contact Deborah Kinlay

Senior Consultant
Phone: 01732 746 668
Email Deborah

AML Advisory

Salary: £50k - London

Excellent opportunity to join the AML advisory team of a global investment bank based in London. 

 

Key Responsibilities in the role include:

  • Ability to review PEP and other high risk referrals
  • Review contracts and specific documentation to assess for the presence of Financial Crime Compliance Risk
  • Represent UKFS in Client Acceptance Committees and other internal forums
  • Reviewing and assessing alerts
  • Provide consistent advice of group policies
  • Applying understanding of core knowledge when supporting/advising CIB business areas and support functions
  • Report any breaches of legislation or bank policy using the bank’s breach reporting procedure and escalate issue to the appropriate area.
  • At least 3 years’ experience working in a financial crime environment
  • A good working knowledge of UK, EU and US sanctions regimes and an understanding of other regimes.

 

Like to talk to someone about this job?

For more information contact Emilia Thomas

Candidate Manager
Phone: 01732 746 668
Email Emilia

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