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Banking & Capital Markets - Regulation Senior Manager - Conduct & culture

Reference
 AS03323
Location
 London
Service
 Assurance
Specialism
 Regulatory & Compliance
Industry
 FS Risk & Regulation

Financial Services Risk and Regulation

Understanding the Regulatory 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 are strengthening our Financial Services risk & regulation practice as our clients across Banking & Capital Markets, Insurance and Asset Management continue to face significant shifts in the regulatory environment. These include:
  • the creation of the FCA & PRA;
  • the European regulatory agenda;
  • the FCA’s focus retail and wholesale conduct risk, culture and the need for firms to put the delivery of good customer outcomes at the heart of their strategy;
  • the FCA’s more proactive and forward looking supervisory approach; the global focus on AML/KYC; and
  • the continuing trend toward large scale remediation and redress programmes.
In order to build a resilient position from which to return value to stakeholders, organisations must adjust their strategies and operating models to make them more customer-centric; and must embed a complimentary culture.
Our expertise is brought together in our Financial Services Risk and Regulation team made up of over 50 partners and 800 professional staff covering the following areas of expertise:
  • Risk analytics and Prudential reporting;
  • Conduct, culture and the customer
  • Operational resilience; and
  • Redress and remediation

With our increased focus and investment towards this unconstrained opportunity, we are recruiting a number of positions from Senior Associate through to Director across multiple industry sectors, including Banking and Capital Markets, Life Insurance, General Insurance and Broking, and Asset Management.

Conduct, Culture and the Customer

We help our clients understand and implement the changes required by conduct-related regulation, making sure they have the means to deliver fair outcomes for their customers. Working across the regulatory lifecycle from product design through to sale and beyond, as well as performing risk assessments and reviewing existing policies, we help deliver tailored solutions to enable our clients to meet and exceed regulatory requirements.

Our team also has extensive experience in culture reviews and improvement programmes and reward and remuneration. We have the skills and expertise to offer a comprehensive offering on everything relating to conduct, culture and the customer.

Senior Manager

The following skills are required for this role:

  • Experience in delivering business advisory or consultancy services to financial services institutions; proven compliance experience in wholesale or retail financial services sector; or, experience working with the FCA or equivalent overseas regulator.
  • The ability to make new contacts, build relationships, listen to and understand client needs and interpret this into new opportunities to assist them.
  • The drive and determination to win new work, build our reputation and expand our service offerings to our clients.
  • Excellent communication skills both written and oral.
  • Good understanding of the industry and regulatory environment in the UK (or equivalent overseas market) is required.
  • Technically proficient in the FCA principles and rules, in particular in relation to governance and controls, business and market conduct (or equivalent overseas regulator), including some of the following:
    o Good understanding of regulatory supervision.
    o Good knowledge of the latest regulatory developments and themes.
    o General understanding of compliance and governance structures and operations, and industry best practice in compliance.
    o Good understanding of the FCA authorisation process and requirements.
    o Good understanding of the activities and investments which require authorisation by the FSA.
    o A Knowledge of the Markets in Financial Instruments Directive ('MiFID') and Financial Services and Markets Act (Regulated Activities) Order 2001 would be an advantage.
  • People management, coaching and mentoring skills to contribute to leadership of client facing teams

Our Competencies

All our people need to demonstrate the skills and behaviours that support us in delivering our business strategy. This is important to the work we do for our business, and our clients. These skills and behaviours make up our global leadership framework, ‘The PwC Professional’.

The PwC Professional focuses on five core attributes; whole leadership, technical capabilities, business acumen, global acumen and relationships. We use this framework to recruit, develop and assess our people, at all grades and all areas of our business, because we expect all of our people to be leaders.

http://www.pwc.com/uk/en/careers/experienced/applying-to-pwc.jhtml

Diversity

We work in a changing world which offers great opportunities for people with diverse backgrounds and experiences. We seek to attract and employ the best people from the widest talent pool as well as those who reflect the diverse nature of our society. And we aim to encourage a culture where people can be themselves and be valued for their strengths. Creating value through diversity is what makes us strong as a business.   www.pwc.com/uk/diversity
 
As an organisation with an increasingly agile workforce, we're open to flexible working arrangements where appropriate.