The Client- A leading consultancy firm
Roles and Responsibilities
- Delivery of client engagements, including both audits and non-audits, leading small sized teams and providing input to larger, multi-disciplinary teams.
- Managing partner involvement on engagements, providing progress reports as required.
- Acting as the primary contact for clients.
- Delivering Section 166 reviews and reporting to the FCA as part of a wider team.
- Providing clients with assurance over their arrangements for producing, validating and submitting monthly regulatory returns in respect of client assets.
- Advising and assisting clients with implementation of systems and processes to comply with both current and potential changes to the CASS rules.
- Advising clients on CASS issues and providing assurance over existing processes.
- Advising client on the development, implementation and/or effectiveness of client asset governance structures.
- Development and delivery of client asset based training programmes for clients and internally
- Provision of technical support and advice internally in respect of CASS audits.
- Taking a leading role in the identification of business development opportunities and the preparation of client proposals in order to assist in meeting overall departmental sales targets.
- Mentoring and coaching other less experienced team members, including acting as a formal performance manager to help junior staff fulfil their potential.
- Building the reputation of the firm through the quality of work, knowledge and experience relevant to the industry.
Qualifications and Skills
- Strong understanding of businesses, structures, governance frameworks and process & control infrastructures of firms in the investment management sector.
- Excellent stakeholder and relationship management skills and ability to develop and maintain strong internal and external network of contacts.
- Strong leadership skills and ability to manage a team of professional staff.
- Strong background in regulation with deep technical skills in capital, liquidity or conduct of business areas and an appetite to learn more.
Experience and Background
- Educated to degree level or equivalent.
- Professional qualification preferred, with strong knowledge of regulatory rules and guidance but crucially the practical application within the investment management sector.
- Project management skills, demonstrated by a record of regulatory project delivery.
- The ability to evaluate technical issues, analyse facts, consult and deliver solutions to clients.
- Excellent communication and presentation skills; including an ability to communicate well with clients in writing and verbally.
- Relevant financial services experience with a regulatory focus, either as part of a financial services firm, advisory capacity or FCA.
- Understanding of regulatory developments and key current issues facing clients.
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