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Manager - Financial Services Regulation and Compliance

Posted 22 January by Parker Wright Consulting Easy Apply Ended


If you are an experienced and ambitious Compliance and Regulation professional, then there has never been a better time to join my prestigious client, a major advisory practice who are considered as one of the key 'movers and shakers' within the Financial Services Compliance and Regulation arena. They have an enviable reputation, providing ground breaking innovation & solutions and unrivalled career progression opportunities.

This team specialises in providing advisory services to a range of firms across the Financial Services sector including banks, securities firms, wealth managers, insurers and intermediaries.

Through continued expansion, my client is looking for an experienced Manager with excellent technical knowledge and understanding of the UK and European regulatory environment, ideally with Prudential regulation expertise.

This individual will have extensive financial services consulting and advisory experience focused on risk and regulation.

This experience will include:

- Skilled Person Reviews under s166 FSMA
- in-depth governance, risk and compliance reviews and regulatory health checks
- regulatory due diligence pre-acquisition
- corporate governance requirements and senior management arrangements
-wealth management regulatory change
-Centralised Investment Proposition processes and controls review
-conducting monitoring reviews and assessments to ensure company procedures and processes are being followed, and regulatory requirements are being met
- QCF4 investment advice past business review oversight
- Investment portfolio governance and suitability review
- ETV/DB transfers suitability review
- suitability of advice review training design and delivery
- oversight and controls review of appointed representatives
- financial crime systems and controls review (AML, ABC & Fraud)
- pre-FCA/PRA risk assessment assistance
- regulatory gap analysis reports pre-authorisation application
- Regulatory Conduct of Business (COBS) rules
- Treating Customers Fairly (TCF).

You will have strong stakeholder, technical and report writing skills, coupled with the ability to pre-empt critical issues and communicate these effectively with stakeholders and your team.

Above all, you will be hard working, diligent and have in depth industry related knowledge with a strong desire for further career advancement.

On offer is a highly rewarding role with outstanding training, development and career opportunities.

If you think you have what it takes, make your application now!

Parker Wright Consulting is acting as an agency and recruitment business with respect to this vacancy.

Required skills

  • Compliance
  • Financial Services
  • Prudential Regulation
  • Regulations
  • Regulatory Standards

Reference: 34001225

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