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Financial Services Compliance Senior Consultant

Mazars
Job LocationLeeds
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent, full-time

Job Description

In Consulting, you will join a growing team of 300 relationship driven, strategic thinkers who take pride in the positive impact they can have on society whilst advising the boardrooms of UK and International clients across all sectors. Our Consulting teams support clients in solving business critical, complex problems through a broad range of services including risk assurance, technology advisory, business transformation, regulatory consulting and actuarial support. Our expertise ranges from financial services and insurance to retail, government and education. In a rapidly changing business world, we help clients overcome the challenges that they face today and prepare for whatever the future may hold. Job Purpose Our Financial Services (FS) Consulting practice has an exciting opportunity for a talented and high performing individual to join our team in the UK. The FS Consulting team predominantly provides advice and support to our clients on risk and regulations. The role itself is focused on regulatory compliance and conduct across our insurance and banking clients.The Financial Conduct Authority (FCA), as a regulator has three core objectives:

  1. Protection of customers;
  2. Protection of financial markets; and,
  3. Promotion of competition.
The regulations are principles-based and this means that it can be difficult for firms to really understand and apply the rules in practice. The risk of getting it wrong can be costly since the FCA can take action through fines or even barring firms or individuals from offering certain services or products (amongst other powers).Increased regulatory scrutiny, supervision and demand for assurance means our clients often need help to determine and demonstrate that they are taking the right approach.The role would preferably be based in the London or Leeds office although the location can be flexible. Role & Responsibilities This role is for a compliance professional that is seeking to build their career in an external advisory capacity. The role will sit within the FS Consulting team as outlined above.The individual is expected to participate in the growth of our services to regulated FS clients by working with a wide variety of clients and delivering client engagements. Whilst client projects will be the priority, the role would also contribute to business development e.g. by organising ‘key account activities, producing articles and presenting to clients.Typical engagements include:
  • Compliance advice on a particular area of concern
  • Regulatory gap analyses
  • Independent review or ‘health checks (including thematic or risk-based compliance reviews)
  • FCA s166 Skilled Person Reviews
  • Regulatory applications / responses / communication
  • Design and delivering training
  • Regulatory change / project support
  • Compliance secondments
  • Develop and maintaining regulatory frameworks, policies and procedures
  • Internal audit subject matter expertise
    • The role itself will involve:
  • Carrying out the types of assignments listed above
  • Dealing directly with client queries and communications
  • Writing compliance reports for various audiences and levels of our clients business
  • Working closely and collaboratively with members of the FS Consulting Team (and our clients) using:
  • assistance of Junior Consultants, where required; and,
  • direction and technical input from Senior Managers, Directors or the Partner.
  • Keeping track of regulatory and industry developments
  • Assisting the engagement/project manager to make sure that work is delivered within the agreed timeline and budget
    • You may will also be required to:
  • Help to develop our service offerings, and marketing to external and internal clients, for example by writing articles or contributing to presentations
  • Work with Managers to prepare client proposals
  • Assist in the development of training, engagement tools and methodologies
  • Identify risks and issues that could impact delivery of client projects and escalate these for support as required
  • Mentor, coach and develop more junior staff
    • Skills, Knowledge and Experience Past experience should include:
  • Experience working within:
  • a professional services firm with a regulatory / compliance focus;
  • the FCA, PRA or FOS; or,
  • a compliance team of a regulated firm.
  • Knowledge of key areas of FCA regulation. Experience covering areas such as COBS, CONC, MCOBS, ICOBS, SYSC, PERG and SUP would be highly beneficial
  • Creating high quality presentations and reports to effectively communicate project findings
  • Communicating with external clients or stakeholders
  • Legal or regulatory research, investigation, and analysis to provide relevant recommendations
  • Preparing, facilitating, documenting, and participating in client meetings and workshops
  • Assisting in the management of client projects or deliverables
  • Participating in the development of new market / service opportunities
    • Professional qualifications:
  • Relevant professional qualifications would be beneficial e.g. Chartered Insurance Institute or International Compliance Association Certificate/Diploma
  • Bachelors Degree or evidenced interest in law, business or finance
    • Inclusion and Diversity At Mazars inclusion and diversity are central to our values. We recognise that being an inclusive and diverse organisation makes us stronger as a business.We seek to attract and recruit people who reflect the diverse nature of our clients and communities, regardless of sexual orientation, gender identity, ethnicity, nationality, faith or belief, social background, age and disability. Mazars selects candidates based on skills, knowledge, qualifications and experience.

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