Regulatory Associate Director
About the role
The role-holder will support the Financial Services Regulatory Director and will assist in business development activities and delivering client engagements. The role-holder will deliver services to clients in line with RSM’s UK’s methodologies and risk management objectives.
The Associate Director, Risk and Regulation is responsible for:
- Developing the Risk and Regulation proposition;
- Producing proposals and presenting to clients;
- Acting as a subject matter expert;
- Ensuring effective management of the client engagement life cycle;
- Supporting with the production of tender documents and proposals to secure new business;
- Supporting the development of the brand through market research, new proposition design, go to market strategies and thought leadership;
- Regulatory horizon scanning;
- Day-to-day delivery of client engagement activities;
- Acting as an ambassador for our brand and developing a network of industry contacts;
- Training and developing junior staff.
About the company and department
RSM is a global firm which employees 43,000 people and generates over $5 billion in revenue. The Risk Assurance department provides a range of services to existing clients including assurance reviews, outsourced internal audit, due diligence, compliance reviews and staff augmentation. RSM is on the Financial Conduct Authority’s s166 panel and performs shilled person work.
About the job
The opportunity is to join RSM’s Risk Assurance function, within the Financial Services Risk and Regulation team. This team specialises in providing regulatory advice and guidance to clients within the financial services sector, supporting them to maintain compliance and manage risk in accordance with regulatory requirements.
The team has a diverse client base, from niche challenger firms, to long-established financial institutions. The team provide services to clients in the UK and across other wider regulatory jurisdictions globally.
Key areas of focus include:
- Governance reviews including SYSC and SM&CR;
- Conduct risk;
- Financial crime;
- Payment services;
- Product governance and treating customers fairly;
- Prudential regulation;
- Governance, including SM&CR and effectiveness reviews;
- Compliance monitoring;
- Regulatory due diligence;
- Training delivery;
- Target Operating Model design;
- Regulatory gap analysis.
The role is for a dedicated professional who can help build the regulatory practice.
You will assist with:
- Strategic initiatives;
- Business development activities;
- Developing propositions and responding to tenders;
- Producing materials for seminars/events on hot topics; and
- Delivering seminars;
Overseeing and delivering client work. The role will require:
- managing delivery of client projects;
- effective stakeholder engagement and relationship management;
- conducting structured document reviews and gap analysis against regulatory requirements and industry practice;
- structuring and conducting client interviews and process walk-throughs;
- developing solutions and drafting reports and detailed recommendations;
- quality assurance review of work undertaken on client projects; and
- approval of work in line with professional standards.
The role holder will also assist in the delivery of Financial Conduct Authority Section 166 Skilled Persons engagements including managing on-site teams, conducting interviews and testing and drafting the skilled person report.
About the ideal candidate
- Ambitious and driven individual, keen to progress their career in a growing team;
- Strong regulatory experience with a proven track record;
- Individual who can work in a fast-paced environment;
- Strong attention to detail;
- Willingness to learn and develop own knowledge;
- Strong communication skills, both oral and written;
- Ability to problem solve and develop pragmatic solutions;
- Strong management skills;
- Ability to work independently and as part of a team;
- Strong organisational skills;
- Experience of working in a client facing environment and managing relationships;
- Experience of managing engagements and teams;
- Experience of business development, for example familiarity with tender processes and proposition design;
- Knowledge of the financial services market and the regulatory institutions.
- Degree level education
- Natural team player
- Driven, motivated, dedicated and resilient
- Outstanding interpersonal and stakeholder management skills
- High standard of written and verbal communication
- Experience of working in a regulatory practice
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