Compliance, Financial Crime and Risk

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Salary: £45 - £65K - London

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.


For more information contact Jemma Graffin

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

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