Regulatory Senior Manager

London, United Kingdom
23 Apr 2019
23 May 2019
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
The Role


• Advising clients on the impact of the changing regulatory landscape on their business models and supporting them through that change with a focus on Senior Managers and Certification Regime (SMCR), UK Corporate Governance requirements and Governance Risk and Control expectations.

  • Leading large multi-disciplinary engagements

  • Playing and active role in the development of business for the Regulatory team, including origination of opportunities from your network, production of proposals and the identification of on sale opportunities within client engagements.

  • Playing a lead role in KPMG's efforts in relation to sales and marketing, Research and Development and Knowledge Management.

  • Building and maintaining strong relationships and networks with both clients and KPMG colleagues.

  • Supporting subject matter experts in a range of interesting programmes and working with a very wide set of clients across the financial sector, through which you'll gain insight and expertise in the work we do.

  • Running workshops and client sessions on a range of regulatory issues including: SMCR; Governance Risk Conduct Risk; remediation activity and Control; and management of regulatory relationships.

  • Delivering Section 166 reviews and reporting to the FCA as part of a wider team.
    Active mentoring, coaching and development of colleagues.

The Person

Qualifications and Skills:

  • Knowledge of the Supervisory Framework, with a focus on SMCR and UK corporate governance requirements

  • Knowledge of the FCA's approach to conduct risk and related issues across the industry

  • Exposure to the impact of technology and innovation on Banks business models and regulatory compliance response to those changes

  • Ability to credibly engage with and influence senior stakeholders at financial services firms

  • A strong network within the financial services industry

  • Have or be studying towards an industry recognised qualification (e.g. CISA, FPC, IMC, CFA etc.)

  • Regulatory / Operational Experience of COBs (inc MCOB, ICOBs, BCOBs)

  • Excellent oral / written communication, planning, project management, networking and influencing skills

  • Flexibility to work across the UK (and internationally) where required

    Experience and Knowledge:

  • Knowledge / Experience of SMCR, UK Corporate Governance requirements and Governance / Systems & Controls regulation that affect our retail clients and Principle / Outcomes Based Regulation.

  • Strong project management skills, evidenced by a demonstrable record of regulatory project delivery

  • Understand the role of the regulator and advising clients on managing their relationship with the regulator e.g. ongoing supervision, risk mitigation and dealing with enforcement.

  • Knowledge and understanding of the commercial objectives of Financial Services firms and how regulation should seek to strike a balance between these objectives and ensuring that customers get a fair outcome

  • Understanding of the wider elements of the FCA Handbook

  • Experience of working within retail financial services arena, preferably including experience of working in a professional services firm and time in a regulatory environment (e.g. a regulated firms' compliance department or FCA)

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