Assistant Regulatory Manager – Financial Services Consultancy

Our client is a London based Regulatory consultancy providing Risk, Regulatory and Consultancy advice to a variety of financial services clients

You will responsible for managing a number of clients within the Governance and Risk Advisory team where you’ll support the team in delivering on a variety of projects including;

  • Section 166 skilled person reviews, focusing on governance arrangements, and risk management arrangements including credit and operational risk management;
  • Corporate governance and board effectiveness reviews;
  • Conduct risk and regulatory compliance reviews;
  • Supporting firm with the validation and/or implementation of SMCR;
  • Operational resilience reviews;
  • Build and maintain good working relationships with all clients and colleagues.
  • Support governance and risk management reviews from planning to preparation of draft reports.
  • Conduct reviews of regulatory compliance including topics such as conduct risk, SMCR and market abuse.
  • Provide quality assurance of fieldwork conducted by junior members of the team.
  • Assist with engagement administration including preparation of engagement letters and client take on.
  • Develop proposals for new client engagements.

Candidate Profile

The successful candidate will have the following:

  • Will have a degree level and or additional industry qualifications
  • Minimum of 3 years of relevant financial services or consulting experience having worked on client engagements
  • You will be comfortable in delivering reviews focusing on risk management and governance, as well as compliance monitoring and preparing for clients for SMCR and Section 166 reviews
  • Good reporting writing and presentation skills of current economic and market trends.
  • Strong analytical and problem solving skills, with the ability to present information in a clear and concise manner.
  • Functional knowledge of the UK Financial Services regulatory environment (FCA and PRA)

If you feel you are a suitable candidate for this position please contact Jonathan Banjo

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