Financial Services Risk Management Lead

7 days ago

Leeds, Leeds, United Kingdom RSM UK Full time
About the Role

This position is part of the Financial Services Risk Assurance team within the Risk Assurance Services faculty at RSM UK.

Job Purpose

The successful candidate will be a strong ambassador for RSM UK, promoting the company's brand and upholding high ethical standards of business that protect the brand, the company, its staff, and its clients.

Key ResponsibilitiesStaff Management
  • Resource planning to ensure all client engagements are adequately resourced in a timely manner.
  • Providing bespoke training programs for junior staff.
  • Quality assurance reviews of internal audit files and reports.
Financial
  • Manage internal audit contracts and individual reviews in line with the agreed budgets.
  • Billing, invoicing, and recovery management.
Business Development
  • Assist the Partner in business development initiatives, including being involved in tender presentations and visits to target clients and networking at various events to build the RSM UK brand.
Contribution to Wider FS Faculty
  • Cross-referral of opportunities to other service lines and disciplines.
  • Joint targeting with other service lines.
Requirements

The ideal candidate will have extensive practical experience of working in an equivalent position in a professional services firm or large in-house function within the industry. They will be technically proficient in executing and leading audits in accordance with IIA standards and the standards on effective audit in financial services across several of the following areas:

  • Regulatory reporting (COREP/FINREP)
  • Client Money and Assets (CASS)
  • CRD IV
  • MIFID II
  • Recovery & Resolution Planning (RRP)
  • ICAAP and Pillar 3 reporting Senior Managers & Certification Regime
  • FCA Systems and Controls – especially in relation to Compliance and Risk Management Frameworks
  • Governance
  • Conduct Risk Management

The role holder will have extensive experience of working in different financial services sectors, such as:

  • Insurance
  • Banking
  • Alternative Finance / Lending
  • FX Trading
  • Investment Management and funds
  • Asset Management
  • Broker/dealers and Prop traders
  • Investment banking and stockbroking

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