Regulatory Senior Compliance Manager

Financial Services
United Kingdom
£60000 - £70000 per annum
06 Oct 2017
08 Nov 2017
Contract Type
Full Time


The Regulatory Senior Compliance Manager is responsible for the execution of client engagements and maintaining strong relationships with senior client personnel. The Senior Manager must have a solid understanding of their client's business and be able to demonstrate technical competence in their product group and industry. The Senior Manager ensures quality and satisfaction on engagements and must be able to clearly articulate the value drivers of our business. The Senior Manager is responsible for developing opportunities both at existing clients and new clients and is responsible for job economics and for ensuring the timely close and billing of projects.

Key Responsibilities

  • Participates in engagement sales opportunities with existing and new clients
  • Manages broad range of routine responsibilities on multiple client engagements related to client project management and business development activities
  • Effectively manages client relationships with senior personnel
  • Contributes to employee development by actively mentoring employees, creating development opportunities and initiating and conducting training
  • Demonstrates the ability to discuss technical and industry trends in specific projects/ industries
  • Demonstrates the ability to deliver specific product solutions to clients
  • Demonstrates expertise in specific technical areas and/ or industries
  • Assists Engagement D/MD in managing engagement risk
  • Participates in recruiting efforts to support the business objectives
  • Enhances company market presence and exposure in order to develop opportunities with new clients
  • Assist with the development of the company thought leadership white papers, FAQs and marketing materials with respect to GRC issues
  • Liaise with other offices globally to leverage off current contacts and to provide a considered and consistent approach to the market.

General Duties & Tasks

  • The development of proposals and bid materials for client advisory/ consulting engagements primarily within the R&C team
  • Management of the delivery of client engagements against the companies standards for engagement management including:
  • Managing company and client staff
  • Project and programme planning and tracking
  • Development and quality assurance of engagement deliverables
  • Reporting and presenting to senior client and company staff of project deliverables, status and risk
  • Development of company propositions and thought leadership including white papers, FAQs and other marketing materials
  • Assistance with the development of engagement methodology and procedures some of which will be generic and others more specific, including aspects of FSA requirements and supervision, operational risk frameworks and assessments, governance issues including enterprise risk management and subject matter internal audit reviews
  • Marketing and enhancing the companies profile in the Financial Services market through:
Excellent delivery and client management on engagementsDevelopment of client opportunities and relationships within engagementsMaintaining client contacts made through the course of the candidates careerIdentification of engagement opportunitiesPromoting company values and philosophiesEnhance technical and operational knowledge through coaching from team and industry specific training/ seminars/ forums. Ensure this knowledge is shared with team members.

Essential Skills and Experience:

  • In-depth experience of one or more segments of the Financial Services Market and a deep knowledge and understanding of the organisations and individuals within that market.
  • Experience within Advisory Consulting firms, with a specialism within internal audit, financial risk management, compliance governance and control or an experienced professional within any of these functions in a leading FS firm, the FCA, or a trade associate.
  • Demonstrate a highly professional approach to the work environment.
  • A first class track record of client service delivery. Candidates must have a deep understanding of the risks impacting the FSI sector.
  • Prior management and direct supervisory experience in a team environment.
  • Excellent verbal and written communication skills
  • Strong presentation skills.

Desirable Skills and Experience:

  • Foreign language skills
  • Exposure to the following
    • ARROW preparation
    • Development and implementation of compliance and risk management frameworks
    • Reviews and analysis of governance arrangements
    • Reviews of sales and advice processes including suitability of structure and other complex products
    • Securities and derivatives trading
    • Investment management processes and controls
    • Client Assets
    • Development of ICAAP and ILAS
    • Solvency II and ORSA development
    • Operations (Buy/Sell side and/or Clearing/Exchange)

Education and Professional Credentials

  • Bachelor's degree in a relevant discipline; minimum 2:1
  • High grades at GCSE and A-Level (typically at least an A and 2 B's at A-level)
  • A recognized FS industry qualification, i.e. Securities and Investment Institute, CFA etc. an advantage

Salary & Benefits

The regulatory senior compliance manager position offers 60-70k + benefits. There is also a operational risk manager/senior manager position available. Please apply to this advert for that role also.

Robert Half Ltd acts as an employment business for temporary positions and an employment agency for permanent positions. Robert Half is committed to equal opportunity and diversity. Suitable candidates with equivalent qualifications and more or less experience can apply. By applying to this position, you acknowledge that you have read and accept the following terms:

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