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    Asset & Wealth Management Regulatory Conduct & Compliance Manager - London, United Kingdom - PwC

    PwC
    PwC London, United Kingdom

    1 week ago

    PwC background
    Full time
    Description

    Line of Service

    Assurance

    Industry/Sector

    Asset and Wealth Management

    Specialism

    Risk

    Management Level

    Manager

    Job Description & Summary

    PwC's Risk practice is growing its capability within the Asset and Wealth Management regulatory space and is looking to recruit individuals at Manager grade, who have relevant experience and knowledge of the asset and wealth management market to advise and deliver to our large number of clients in this sector. PwC is the leading assurance and advisory firm in this space and our team is expanding and looking for additional talent.

    The world of Risk and Regulation has been going through a period of fundamental change - it continues to evolve in a fast moving political and commercial environment as do the businesses it affects. We are working across the financial services sector with our clients dealing with the impacts and adaptations required - join us on the journey and be part of creating a new and relevant financial services industry.

    The Asset and Wealth Management Risk and Regulatory team has significant growth plans and is looking to expand its leading regulatory advice business. The team is looking for ambitious and dedicated candidates at Manager level who have gained experience in the regulation of asset management and / or wealth management businesses. These individuals will have good knowledge of conduct regulation such as compliance arrangements, SM&CR and governance, the FCA's asset management market study and its remedies, front office controls and the FCA regulatory framework. The candidate may have worked for a regulator, a consultancy or in industry.

    As the leading provider of professional services to the asset and wealth management industry, PwC works with all of the leading firms in the UK. Through this, we have an excellent understanding of the challenges that the industry is facing.

    If successful, you will work on a range of exciting projects across many areas of the regulatory spectrum. You will expand your knowledge and have great opportunities to fast-track your career. As a team, we aim to provide autonomy for individuals to seek areas of focus, supporting development in those areas through on the job learning and mentoring. You will also have access to PwC's market leading development framework in order to get full support through your personal development.

    Responsibilities

    • 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 conducting reviews and preparation of reports; making oral presentations of findings and recommendations to client management team(s)
    • Conducting regulatory due diligence for merger and acquisition deals
    • 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 helping to win new business through marketing and sales activities and continuous client relationship programmes with senior client staff
    • Networking with clients, prospective clients and internally across PwC
    • People development, mentoring and coaching, including management of client facing teams
    • Technical research, responding to consultation papers from relevant regulatory bodies, providing input to the debate on development and application of policy, participating in PwC's Thought Leadership

    Requirements

    The following skills are required for this conduct focussed role:

    Essential Skills

    • Knowledge and experience of the asset management and / or wealth management sector, including a strong understanding of the FCA's supervisory approach for asset and wealth management firms;
    • Technically proficient in the conduct aspects of the FCA regime including recent thematic reviews, the FCA market studies and the introduction of the Senior Managers Regime for asset and wealth managers as well as elements of the broader FCA regime and requirements;
    • The ability to make and develop strong relationships, listen to clients 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;
    • Excellent communication (both written and oral) and organisational skills;
    • Strong numeracy and report writing skills.
    • Demonstrable experience with the FCA and/or with another regulatory consulting practice or in-house as part of a compliance / risk function within a regulated firm.

    Desirable Skills:

    The range of technical skills our clients are looking for is broad. We need individuals with skills in one or several of the following areas:

    • Experience in providing regulatory consulting advice to both established companies and new entrants;
    • An ability to understand, interpret and communicate complex regulation;
    • Experience of regulatory processes (e.g. authorisations, change of control process);
    • Experience designing and reviewing regulatory functions and processes;
    • Experience in assessing risk management frameworks and governance, particularly in relation to customer outcomes and conduct risk;
    • Experience with conduct risk monitoring including product governance, distribution models and sales process; and
    • Experience implementing or managing compliance with the Senior Managers & Certification Regime.

    We may consider individuals who do not have asset and wealth management specific knowledge but who have broader Financial Services (FS) knowledge.

    Education (if blank, degree and/or field of study not specified)

    Degrees/Field of Study required:

    Degrees/Field of Study preferred:

    Certifications (if blank, certifications not specified)

    Required Skills

    Optional Skills

    Desired Languages (If blank, desired languages not specified)

    Travel Requirements

    Not Specified

    Available for Work Visa Sponsorship?

    Yes

    Government Clearance Required?

    No

    Job Posting End Date

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