Regulatory Consultant, Investment Banking, Big 4

  • 50 - 75k
  • London, England, United Kingdom
  • Permanent, Full time
  • Holmes Search
  • 13 Jan 18 2018-01-13

Understanding the Regulatory and Business landscape. Influencing change. Helping our clients navigate through each new complexity. This is how we bring value to our clients every day. The world of Risk and Regulation is changing, join us on the journey and be part of creating a new and relevant Financial Services industry. We support our clients with managing non-financial risk. To continue to excel in this we are strengthening our practice as our clients across Investment Banking continue to face new challenges given significant shifts in the regulatory and business environment.

Our specialists are self-starting, agile and thrive on bringing past experiences to new and diverse challenges. They are happy to work as individuals or as part of multi-disciplinary teams to provide hands on, client facing services to our clients in the capital markets area, primarily large global banks, on regulatory change and remediation, governance risk and controls as well as critical business change. These services can be in the form of regulatory/consulting advice, implementation support or controls review and recommend reports.  We work with Front Office, Risk, Operations and Finance functions, often cross-functionally in supporting them with large business and regulatory change programmes and with enhancing their governance, controls and risk frameworks.
Below are some of the types of work you could be involved in:

•Advice & implementation responding to conduct regulation – regulatory advice, regulatory implementation support, regulatory assurance services e.g. MIFID II, transaction reporting, margin regulation, benchmark regulation etc

•Governance, risk & control e.g. embedding senior manager regime, front office supervision and control (benchmark, algorithmic trading controls, trader supervision, order execution etc), model risk management, control framework optimisation, compliance risk management and testing, front to back control design and/or remediation, risk and control reporting and MI

•Supporting our clients with business change e.g. Brexit planning and support

•Helping banks with their regulatory authorisation and licensing



•Managing an investment banking client delivery portfolio reporting to the Senior Manager Group

•Delivering business and regulatory change programmes

•Leading engagement teams of up to 5 staff

•Managing and building day-to-day client relationships across a network of stakeholders internally and externally

•Managing staff and taking on coaching responsibilities

The role will provide you with experience of working with major banking and capital market clients, where you can demonstrate your understanding of regulatory requirements, governance and controls and approaches to project and programme delivery.

Role requirements

Essential skills:

•5 yrs+ experience of working within professional services/consulting organisations or banks specifically focussed on regulatory/business change and/or front to back trading governance, risk and controls.

•Leadership skills with a proven track record of successfully leading work-streams within change/client engagements

•Strong client relationship, stakeholder management and inter-personal skills, with a proven track record of dealing and influencing stakeholders

•Good commercial awareness, sound reporting skills and the ability to work under your own initiative

•Excellent oral and written communication skills (ie report writing)

•The ability to apply independent judgement during engagements and to support conclusions reached to senior level personnel both internally and externally

•Very strong attention to detail

•Strong power-point skills

•Agility – an interest in working in a dynamic environment and on different types of projects in the capital markets arena