Senior Associate / Assistant Manager, Compliance & Conduct Risk
My client offers integrated services that include Audit, Tax, Consulting and Corporate Finance. Their Financial Services Advisory group specialises in assisting firms in the development of their governance, risk and compliance arrangement. The Northern Financial Services Practice focuses on Internal and External Audit, prudential and Financial Risk and Conduct Risk.
The conduct risk team works with a broad range of clients across all financial services sectors providing a range of advisory products and services. Their work includes the design of Conduct Risk and compliance operating models and frameworks, processes and policy improvements, assistance with the assessment and implementation of regulatory change, responding to the compliance risks of internal change initiatives, together with the assessment and remediation of compliance related issues.
With the increased regulatory focus on Conduct Risk and increasingly intrusive supervision regime, demand for services in this area have increased. As such they are looking to recruit a couple of individuals into the Conduct Risk team in the Northern Financial Services practice, based between offices in Leeds and Manchester
The focus will be to support client projects, develop the service offering and build on existing client relationships. A requirement of the role is a willingness to travel to deliver client assignments when required.
You will have responsibility for;
Actively working with new and existing clients to deliver high-quality output, advice and assurance across specific subject matter including (but not limited to) regulatory framework design, regulatory change and remediation activity To act as subject matter expert advising and supporting clients in Conduct Risk Matters and other matters as required Develop and maintain productive relationships with key stakeholders Identify opportunities across existing and new clients and manage these accordingly Support local and national projects and initiatives A manager will have a broader perspective of potential issues encountered when managing diverse teams and the strategies to overcome them. Key Requirements-
Knowledge of Financial Services Conduct Risk Management and regulation developed through roles performed Experience of working within UK Financial Services, in either industry, regulatory (for the FSA or other e.g. FOS) or professional services roles Operational experience within a financial services environment Good knowledge of the financial services industry, related risk management regulation and practices.
Desirable experience includes
Relevant professional qualification Responsible Lending – including MMR and MCOB requirements Customer remediation projects and General Insurance regulation The Banking Conduct regime and Product governance
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