Regulatory Consultant - Asset Management

Posted 5 April by MERJE Ltd Easy Apply

Advising clients on the impact of the evolving regulation on their business models, clients, propositions, brands and markets and supporting them on their journey through that change. This includes embedding of cultural values and behaviours; and establishing effective corporate governance, oversight, systems and controls, management information, risk management frameworks, as well as policies and procedures throughout the product lifecycle.

The Client

One of the Big 4 Consulting practices are looking to add a key hire to their established and highly reputable Regulatory Advisory team.

The Role

This particular role will provide support to their Investment Management clients and you will be responsible for:

  • Working with clients and the FCA to deliver Section 166 reviews across a variety of areas.
  • Supporting subject matter experts in a range of interesting programmes and working with a very wide set of clients across the financial sector.
  • Supporting and/or managing workshops and client sessions on a range of regulatory issues including: incoming and current regulatory requirements (market and conduct).
  • Managing engagements including contracting with clients, financial management and leading and developing teams.
  • Playing an active role in the development of business for the Regulatory team.
  • Supporting the company’s efforts in relation to sales and marketing, Research and Development and Knowledge Management.

Key Requirements

Experience and Knowledge:

- Experience working within an Investment Management environment - preferably with prior experience in trading, risk, compliance or a first line control function.

- Knowledge/ experience of Governance and Systems and Controls regulation that affects the Investment Management sector

Qualifications and Skills:

- Knowledge of the Supervisory Framework including ARROW/FSF assessment framework

- Knowledge of the FCA’s approach to market and conduct risk and related issues across the industry

- Knowledge of the key regulatory issues including MiFID II, SMR, Suitability and CASS

- Excellent oral / written communication, planning, project management, networking and influencing skills

- Flexibility to work across the UK (and internationally) where required

Required skills

  • Banking
  • Compliance
  • Regulations
  • Risk Management

Reference: 34592164

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