Asset and Wealth Management - Conduct Regulatory Consultant - Manager

About the role

The world of Risk and Regulation is experiencing fundamental change, evolving rapidly within political and commercial environments, impacting businesses significantly. We work across the financial services sector to help clients navigate these changes. Join us in shaping a new, relevant financial services industry.

The Asset and Wealth Management Risk and Regulatory team is growing and seeks ambitious Managers with experience in asset or wealth management regulation. Ideal candidates will possess strong knowledge of conduct regulation, including compliance arrangements, SM&CR, governance, the FCA's asset management market study, front office controls, and the FCA regulatory framework. Experience with a regulator, consultancy, or in the industry is a plus.

As the leading provider of professional services to the asset and wealth management industry, PwC collaborates with top UK firms, understanding their challenges. Successful candidates will work on diverse projects, expand their knowledge, and fast-track their careers, supported by PwC's market-leading development framework and on-the-job learning opportunities.

What your days will look like:

• 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
  

This role is for you if you have:

• 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;
  
• 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.
  
• Experience in providing regulatory consulting advice to both established companies and new entrants;
  

What you'll receive from us:

No matter where you may be in your career or personal life, ourare designed to add value and support, recognising and rewarding you fairly for your contributions.

We offer a range of benefits including empowered flexibility and a working week split between office, home and client site; private medical cover and 24/7 access to a qualified virtual GP; six volunteering days a year and much more.

Location: London, GB

Posted Date: 9/27/2024