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Prudential Associate

  • Location: City of London
  • Salary: £40,000 - £45,000 per year
  • Job Type:Permanent

Posted about 2 months ago

  • Sector: Compliance
  • Contact: Edward Manson
  • Contact Email:
  • Expiry Date: 31 January 2022
  • Job Ref: EM/17760

​A great opportunity for a Prudential Associate to work in an independent, specialist Global Regulatory Consultancy supporting on prudential projects and reporting whilst being able to deliver client work, participate in marketing and business development, assist with technical research and the production of technical materials, and participate more generally in the development and growth of of the business.

Client delivery - Advise and support clients on a wide range of regulatory compliance matters. This may include:

o Assisting with prudential reviews

o GABRIEL reporting

o Preparation and review of AIFMD Annex 4 returns

o Support CASS audits

o Assisting with authorisations

• Responding to ad-hoc and routine regulatory queries

• Developing training materials and assisting in delivering training sessions

• Actively partner with global sector teams to support and deliver on shared projects and responsibilities, where required

• At all times adhere to the firm’s Quality Assurance Framework prior to submission to the client

• Arrange and help prepare for client meetings

• Accurately record all client time in the CRM system

• Ensure that all client files are in good order and details of relevant contacts are updated in the CRM system.

Business Development

• Foster a professional relationship with clients and contacts, ensuring regular and open communication

• Actively seek to increase the business client base by performing market research and identifying new prospects to target

• Attend relevant industry events to build your network and promote the brand

• Participate in and where relevant, help to present at events and training sessions, such as client briefings on topical regulatory issues and roundtable events aimed at compliance professionals

• Assist the team with marketing and business development activities including:

o Preparing proposals and draft engagement letters

o Writing articles for the website and social media

o Preparing marketing material

• Record all touch-points, leads, opportunities and proposals in the CRM system

Regulatory knowledge

• Strong grasp of financial services legislation and rulebooks including some or all of: CRR, CRD IV, FCA Handbook, GENPRU, BIPRU, IFPRU, AIFMD Annex 4, CASS

• Excellent understanding of PRA and FCA regulatory reporting rules and guidance

• Keep abreast of regulatory developments and understand how client activities may be impacted

• Be proactive in updating both colleagues and clients on relevant regulatory changes and industry news

• Develop a thorough understanding of clients’ businesses and requirements so you can provide relevant and accurate advice

• Conduct research and assist colleagues with preparing templates and other technical material on topics of interest


• Relevant, Diploma level professional qualification (investment or compliance-related), or willing to study towards

• Educated to degree level

• Significant compliance-related experience gained at a financial institution, legal practice, consultancy and/or the regulator

• Knowledge and experience of PRA and FCA regulations

• Proven track record of exceeding financial goals and sales targets; consulting experience would be advantageous

• Experience translating regulatory rules and guidance into meaningful, fit-for-purpose and pragmatic solutions for clients

• Experience managing client relationships

• Excellent Microsoft Office skills and experience using a CRM system would be an advantage