Risk and Regulation Manager

2 weeks ago

London, United Kingdom RSMUK Full time

An opportunity to join RSM's Risk Assurance function, within the Financial Services Risk and Regulation team. This team specialises in providing regulatory advice and guidance to clients within the financial services sector, supporting them to maintain compliance and manage risk in accordance with regulatory requirements.

The team has a diverse client base, from niche challenger firms, to long-established financial institutions. The team provide services to clients in the UK and across other wider regulatory jurisdictions globally.

Key areas of focus include:

  • Conduct risk;
  • Financial crime;
  • Payment services;
  • Prudential regulation;
  • Governance, including SM & CR and effectiveness reviews;
  • Compliance monitoring;
  • Regulatory due diligence;
  • Training delivery;
  • Target Operating Model design;
  • Regulatory gap analysis.

The role is for a dedicated professional who can help build the regulatory practice.

Business development
You will assist with:

  • Strategic initiatives;
  • Business development activities;
  • Developing propositions and responding to tenders;
  • Tender/pitch presentations; and
  • Producing materials for seminars/events on hot topics.

Delivery
Overseeing and delivering client work. The role will require:

  • managing delivery of client projects;
  • effective stakeholder engagement and relationship management;
  • conducting structured document reviews and gap analysis against regulatory requirements and industry practice;
  • structuring and conducting client interviews and process walk-throughs;
  • developing solutions and drafting reports and detailed recommendations;
  • quality assurance review of work undertaken on client projects; and
  • approval of work in line with professional standards.

The role holder will also assist in the delivery of Financial Conduct Authority Section 166 Skilled Persons engagements including managing on-site teams, conducting interviews and testing and drafting the skilled person report.

About the ideal candidate

  • Ambitious and driven individual, keen to progress their career in a growing team;
  • Individual who can work in a fast-paced environment;
  • Strong attention to detail;
  • Willingness to learn and develop own knowledge;
  • Strong communication skills, both oral and written;
  • Ability to problem solve and develop pragmatic solutions;
  • Ability to work independently and as part of a team;
  • Strong organisational skills;
  • Experience of working in a client facing environment and managing relationships;
  • Experience of business development, for example familiarity with tender processes and proposition design;
  • Knowledge of the financial services market and the regulatory institutions.

Requirements

  • Degree level education
  • Natural team player
  • Driven, motivated, dedicated and resilient
  • Outstanding interpersonal and stakeholder management skills
  • High standard of written and verbal communication
  • Experience of working in a regulatory practice

Diversity and Inclusion at RSM
At RSM, we want to create a strong sense of belonging so that people of all identities, backgrounds, and cultures feel they can bring their true self to work. Our clients come from all walks of life. We aim to achieve that same diversity of background, experience and perspective in our own teams, so that we can genuinely understand our client's needs. Diverse teams bring a broader range of ideas and insights to work. That's why we're working together to ensure our firm's principles and processes support a firm culture that embraces difference and strengthens inclusion.
At RSM we work hard to create an environment where our people can make a difference - to themselves, their career, their teams, and to the success of our firm and clients. We support all our people to work flexibly, to manage their family and other responsibilities alongside their work commitments; we believe this is key to achieving an inspiring and fulfilling working environment.

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