Assistant - FS Assurance Services Investment Management (CASS)
London, GB
6d ago

Role and Responsibilities :

  • Delivery of client engagements, working on both small sized teams and larger, multi-disciplinary teams including planning to completion of our regulatory assurance engagements, reporting directly to the engagement manager and partner.
  • Delivering Section 166 reviews and reporting to the FCA as part of a wider team.
  • Keeping up to date with industry specific issues and circumstances which affect banking regulation.
  • Support the provision of advice regarding regulatory requirements affecting Banks such as Client Assets reviews.
  • Assist in the preparation of presentations, training, thought leadership and marketing material.
  • Technical advice responding to queries as they arise.
  • Specific examples of work that the individual would be involved in are :

  • Assist in advisory projects relating to client assets and other regulatory projects as required.
  • Assist in technical reviews of audit work and support of audit teams regarding Client Assets reporting to the FCA.
  • Research and preparation of technical advice responding to queries.
  • Preparation of presentations to audit and non- audit investment banking clients on regulatory requirements.
  • Qualifications and Skills :

  • Strong understanding of businesses, structures, governance frameworks and process & control infrastructures of firms in the Investment Management sector.
  • Strong communication skills and ability to influence and deal with senior individuals.
  • Strong project management skills.
  • Background in regulation with technical proficiency in the FCA’s Client Assets sourcebook.
  • Experience and Background :

  • Educated to degree level or equivalent.
  • Strong knowledge of regulatory rules and guidance but crucially the practical application within the banking industry.
  • 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.
  • Understanding of regulatory developments and key current issues facing clients.
  • Experience in working with teams and the ability to work independently.
  • Apply
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