Compliance Manager - Asset and wealth management
An opportunity has come up with a leading consultancy firm to join their regulatory practice focusing across their asset and Wealth Management clients.
You will be focused on working with their clients across emerging regulation and conduct compliance issues.
This is a great opportunity to have a look at and see how different firms across the industry react to changes in regulation as well as understand the different approaches that firms take towards the current regulatory environment.
- Leading projects and running work streams on medium and larger engagements - working as part of a project team on client sites and day-to-day liaison with clients
- Taking responsibility for the conduct of reviews and preparation of reports; making oral presentations of findings/recommendations to client management team(s)
- Identifying the impact of prudential regulatory change and supporting clients as they adapt to the challenges the new regulatory landscape presents.
- Supporting technical analysis and developing an area of specialism where you will become the 'subject matter expert'.
- Identifying and documenting key systems and controls for demonstrating compliance with applicable FCA regulations
- Developing opportunities and winning new business, through marketing and sales activities and continuous client relationship programmes with senior client staff
- Knowledge and experience of the Asset & Wealth management sector, including a strong understanding of the FCA's supervisory approach for asset and wealth management firms and an understanding of forthcoming regulations.
- Technically proficient in the conduct aspects of the FCA regime including recent thematic reviews, the FCA market study and the introduction of the Senior Managers Regime for asset and wealth managers as well as elements of the broader FCA regime and requirements.
- Experience in providing regulatory consulting advice to both established companies and new entrants
- The ability to make new contacts, listen to their needs and interpret this to identify new opportunities to assist them
- Drive and determination to win new work, build our reputation and expand our service offerings to our clients
- General understanding of compliance and governance structures, operations, and industry best practice in compliance