Regulatory Consultant - Capital Markets - £60,000-£80,000 Regulatory Consultant - Capital Markets -  …

Holmes Search
in London, United Kingdom
Permanent, Full time
Last application, 14 Jun 21
Holmes Search
in London, United Kingdom
Permanent, Full time
Last application, 14 Jun 21
Posted by:
Duncan Tout • Recruitment Consultant
Posted by:
Duncan Tout
Recruitment Consultant
Our client are a big 4 consultancy looking for driven regulatory consultants.You will need to use your technical knowledge as well as your ability to work in a team to deliver for clients. Their high performing team works with some of the most prestigious financial firms in the world, and as a Consultant you will be an integral part of this.

We bring a breadth of core skills and experience to provide advice and help our global clients assess their options, improve operations and manage their risks as an enterprise wide discipline.

We work closely with regulators to help us provide the top UK and EU financial institutions support on:

• Strategic implications of regulation and supporting with strategic change initiatives

• Effective implementation of regulatory directives

• Remediation of regulatory issues

• Effective implementation of risk management processes

• Embedding a risk based performance assessment


The Corporate and Investment Banking team works closely with a number of high profile Capital Markets and Investment Banking clients in this sector.


The team has undertaken a variety of engagements including implementation of processes around the identification of conduct risk, reviews of governance arrangements at Board and a senior management level, Control Framework development and implementation, Senior Manager & Certification Regime and LIBOR Transition programmes .


The team focuses on Banking Conduct and Controls across a number of regulatory areas. This creates a dynamic team environment providing our colleagues with a wealth of opportunities for personal growth and development. There are opportunities to work with traditional Investment Banks, large Commercial Banks specialising in wholesale capital markets finance and new to market disruptors and start-ups.


Depending on experience and the type of engagement, you will be responsible for:

• Produce, with limited supervision, complete and accurate work as part of high performing client engagement teams.

• Build credible relationships with clients both by demonstrating industry knowledge, technical skills and an ability to create and deliver analysis to support commercial decision making.

• Provide a variety of support on client campaigns to support our business development, from researching new regulations and their potential impact to assisting effective business implementation.

• Develop senior stakeholder and executive level presentations that are clear and insightful, translating services into meaningful value propositions for clients that drive business change.

• Understanding and interpreting regulations, including describing the impact of regulations on the business and discussing the impact of regulatory change with our clients.

• Regulatory remediation and quality compliance testing.

• Contract reviews and analysing if requirements are adequately defined and documented.


You will also be a highly motivated and proactive individual, confident in working as part of a high performing team and demonstrate positive behaviors with regards to collaboration and maintaining an inclusive and supportive working environment.




Skills and Experience

• Regulatory experience at the FSA/ FCA, a FTSE 100 Financial Services organisation, one of the other Top 4 consultancies, or another Advisory firm

• Experience working with front office staff in an Investment Bank or Commercial Bank, such as traders / market facing roles or working in a second line function with direct interaction with the front office.

• Knowledge of CASS, governance, conduct risk, regulatory developments such as LiBOR Transition, MiFID 2 and Brexit Programmes would be beneficial.

• Experience with large scale, transformational change programmes in Investment or Commercial Banking.

• Strong academic background which could include the following: 2:1 degree, CII Exams ( FPC / AFPC), CISI Level 4, Prince 2, CeMAP, CeFA and / or Other Financial Services qualifications.

• Good all round financial services knowledge, including an understanding of the regulatory environment and the wider banking sector, including current industry trends and events.


There are opportunities for flexible working


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