Risk & Compliance Senior Consultant

London, United Kingdom
04 Oct 2022
26 Oct 2022
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Role Responsibilities
  • Typical assignments include assessing a client's compliance versus regulations and making recommendations. This assessment may be delivered through the following engagement types 'gap assessment', S166 review, co-sourced internal audit or as a project to design and implement compliant processes.
  • In some cases client engagements may include remediation of the work of others (e.g. other consultants and occasionally clients)
  • When not working on client engagements, staff are expected to participate in business development which includes writing proposals, developing thought leadership and conducting research on topical issues.
  • Act as a technical advisor and mentor for the consultants, encouraging their development and involvement in engagements
  • Keeps knowledge up to date, and obtains appropriate professional and technical certificates

Skills & Behaviours:

Analytical and Pro-active Thinking:
  • Applies analytical and pro-active thinking to client agenda to ensure robust, appropriate client solutions.
  • Works with creativity and innovation
  • Problem solving
  • Ability to organize and drive results and outcomes

Complexity and Responsibility:
  • Assumes responsibility for own actions, understanding complexity of operating environment and impact of selected course of actions on others.
  • Commercial awareness

Interpersonal Interaction:
  • Interacts and empathises effectively with others to achieve desired outcomes.
  • Creates a positive work environment for our consultants and instill an attitude of working with integrity when dealing with clients
  • Collaborative work style

Personal Growth
  • Proven track record of self-development and personal growth.
  • Exhibits a desire to grow both in terms of knowledge and career advancement

In addition to the above we expect individuals to demonstrate the following skills and behaviours:
  • Proven written and verbal communication
  • Ability to effectively liaise with managers and build client relationships
  • Demonstrate and display behaviours of inclusion by sharing responsibility, bringing the team together and having open communication
  • Displaying and modelling a professional demeanor

Educational & Professional Credentials Required
  • Bachelor's degree in a relevant discipline
  • A-C Grades at GCSE and A-Level
  • 3 years relevant financial services related work experience, preferably in a consulting but relevant experience gained working directly for a financial services firm will also be considered
  • Professional certification such as ICAEW strongly preferred or equivalent
  • Experience in executing audit work not essential, but preferred
  • Experience in applying regulatory topics such as CASS, market abuse, operational resilience, complaints, product governance, culture and conduct (non-exhaustive list)
  • You need to sign in to save