Regulatory Executive, Financial Services Extended Assurance

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  • Salary:

    £30,000 - £42,500 + Benefits

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  • Published:

    over 2 years ago

My client has recently been voted as one of the top 3 companies to work for in Europe.  The Financial Services Assurance Team is fully integrated, working across borders to help clients deal with issues that are critical to their success.  

The role-

The current regulatory environment is driving significant changes to all firms’ internal processes resulting in my client recently launching Extended Assurance as part of their Financial Services Assurance practice to provide ongoing assurance to regulators, management and directors on the execution, governance and controls around processes that do not impact the financial statements.

In the North of England they have started to build out this offering  and as such they are looking to appoint a couple of individuals to join a team of experienced professional with ambitious to grow a leading regional financial services practice in the UK.

Key Responsibilities;  

  • Work on the execution of a variety of assignments across a broad range of clients in the Financial Services sector. Examples of recent projects include CASS remediation work, reviews of risk management frameworks, assessment of regulatory required productions (e.g. ICAAP / ILAAP documents) and supporting firms with their implementation of upcoming regulation (e.g. Senior Managers regime / CRD IV)
  • Have a keen interest and understanding of the UK regulatory environment (PRA / FCA) including the objectives of the Regulators and how this will impact their clients
  • Work in teams, with responsibility for the overall execution of smaller projects and / or individual components of larger projects, under the guidance of Managers,  Directors or Partners
  • Be flexible in your working style to encompass working in both the office as well as client sites with a willingness to travel

Key Requirements:       

  • Candidates will have a strong background in financial service ad experience of working within a bank or other financial services firm, either in compliance, risk and / or internal audit.
  • They are specifically looking for people with particular experience of conduct and / or prudential risk management
  • A relevant professional qualification would be preferred
  • Particular industry specialism experience preferably in banking, insurance or investment management.
  • Experience of interpreting, understanding and responding to UK regulation through your current / previous role.