Conduct & Compliance Senior Manager - Asset & Wealth Management

Job Description

Risk is all around us and in our complex world, is changing all the time. Our teams bring people from diverse backgrounds together, using their skills and cutting-edge technology, to help solve complex problems. We are pioneers in a world of changing riskand our market leading services build resilient organisations. Join us and together, we can support our clients to rethink risk.The world of Risk and Regulation has been going through a period of fundamental change - it continues to evolve in a fast movingpolitical and commercial environment as do the businesses it affects. We are working across the financial services sector with our clients dealing with the impacts and adaptations required - join us on the journey and be part of creating a new and relevantfinancial services industry. The Asset and Wealth Management Risk and Regulatory team has significant growth plans and is looking to expand its leading regulatory advice business. The team is looking for ambitious and dedicated candidates at Senior Managerlevel who have gained experience in the regulation of asset management and / or wealth management businesses. The successful applicant will assist the Partners and Directors expand our market offering, play a key role in strengthening our client relationships,and assist in the delivery of a range of interesting engagements. The applicant will have good knowledge of conduct regulation such as compliance arrangements, Consumer Duty, SM&CR and governance, front office controls and the FCA regulatory framework. Theapplicant may have worked for a regulator, a consultancy or in industry. Responsibilities

• Leading teams on engagements by being a key contact for clients, as well as being responsible for day-to-day liaison and building meaningful relationships with clients;
• Assisting the Partners and Directors design and then take our solutions to the marketplace;
• Developing opportunities and winning new business, through marketing and sales activities and continuous client relationship programmes with senior client staff;
• Taking responsibility for the conduct of reviews and preparation of reports; making oral presentations of findings/recommendations to client management team(s);
• Supporting technical analysis being a subject matter expert in aspects of FCA conduct regulation;
• Networking with clients, prospective clients and internally across PwC;
• People development, mentoring and coaching, including management of client facing teams;
• Taking responsibility for developing a broader capability with additional talent, as the business allows.

Requirements

• Knowledge and experience of the asset management sector, including a strong understanding of risk and capital management processes and procedures;
• Technically proficient in the conduct aspects of the FCA regime as it applies to asset and wealth management firms including the Consumer Duty;
• Experience in providing regulatory consulting advice to both established companies and new entrants either inhouse, at a regulatory body or a consultancy;
• Positive and proactive attitude, with the ability to adopt an agile approach;
• Demonstrate the ability to form strong relationships, make new contacts, listen to their needs and interpret this to identify new opportunities to assist them;
• Drive and determination to win new work, build our reputation and expand our service offerings to our clients; and
• Excellent communication (both written and oral) skills