Senior Manager Financial Regulation Team
London , GB
2d ago

Job description

The Financial Regulation Team forms (FRT) part of PwC’s Risk Management

practice and sits within the central Compliance team (second line of defence).

Its main purpose is the provision of advice, guidance and oversight to support

the Chief Compliance Officer (CCO) in ensuring that PwC discharges its legal

and regulatory responsibilities in areas including, but not limited to,

Financial Conduct Authority regulation, Market Abuse and Anti-Bribery and


We are looking for an experienced Senior Manager to lead the Financial

Regulation Team on a day to day basis and support the wider Compliance

leadership team in the pursuit of our Compliance strategy and

transformation agenda.

The team is based in London and there would be a requirement to be present

in the office as appropriate, but remote working on an agreed basis is also

possible and this role is open to candidates on a national basis.

We are seeking a compliance / risk practitioner who :

  • has appropriate hands on’ experience of FCA regulations, sourcebooks and their application;
  • has leadership experience and comfortable engaging with senior stakeholders;
  • has an aptitude for digesting and interpreting new regulations in

  • order to provide guidance and direction to client-facing staff;
  • is highly motivated and sufficiently confident to work independently, but with support from a more experienced subject matter expert;
  • is enthusiastic about developing themselves and others, challenging the status quo and driving meaningful change;
  • has a proven ability to work to deadlines.

    The firm is facing increased regulatory challenges and going through a period

    of transformation. This vacancy has arisen as a result of this and will provide

    a stimulating and challenging opportunity to :

  • Develop a deeper industry specialism that provides career choices both within the firm & wider marketplace;
  • Gain experience of the PwC approach to compliance disciplines and in particular FCA and Anti-Bribery regulation;
  • Acquire knowledge of the products’ and services offered by the firm;
  • Develop relationship management skills, by regularly dealing with

    senior partners & staff within the firm on regulatory compliance matters and sensitive client issues.

    The successful candidate will report to the Deputy Chief Compliance Officer

    and will have line management responsibility for colleagues in the Financial

    Regulation , as well as helping supervise and coach other members of the

    Compliance team as appropriate.

    The successful candidate will be responsible for managing their own

    workload, in consultation with the Deputy Chief Compliance Officer, and help

    in ensuring that all relevant matters are brought to the attention of the Chief

    Compliance Officer.

    The role involves supporting our objectives by taking responsibility in areas

    including :

  • responding to queries relating to the interpretation and application of FCA rules / guidance and the firm’s related policies;
  • liaising with the wider areas of Compliance and Risk to ensure that other relevant regulatory and risk considerations are taken into account;
  • the development of internal policies and procedures;
  • the provision of subject matter advice to the client-facing practice;
  • awareness and training;
  • periodic monitoring;
  • formulation of the firm’s response to regulatory initiatives and investigations.

    Ideally, the candidate will be educated to graduate level and have

    recent experience of working and leading in a FCA regulated

  • environment;
  • They will typically have experience within the risk management /

    compliance functions of a professional / financial services firm or

  • relevant experience from a regulatory body;
  • Key required skills are an ability to :

  • acquire and apply technical expertise;
  • communicate with impact and empathy to individuals at all

    levels of seniority :

  • observe key principles of confidentiality and sensitivity;
  • be adaptive, open minded and agile;
  • be passionate about client service;
  • be curious to learn and share;
  • demonstrate courage, integrity and the confidence to make

    independent decisions.

    The application closing date is 31 December 2021.

    Not the role for you?

    Did you know PwC offer arrangements as well as (ie temporary or day rate contracting)?

    The skills we look for in future employees

    All our people need to demonstrate the skills and behaviours that support us in delivering our business strategy. This is important to the work we do for our business, and our clients.

  • These skills and behaviours make up our global leadership framework, The PwC Professional’ and are made up of five core attributes;
  • whole leadership, technical capabilities, business acumen, global acumen and relationships.

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