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.