Risk & Compliance Senior Manager - CASS

London, United Kingdom
Jul 18, 2021
Aug 17, 2021
Job Function
Industry Sector
Finance - General
Employment Type
Full Time

The Senior 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 across a broad range of regulatory / Compliance topics. The Senior Manager ensures quality and satisfaction on engagements using their strong financial services knowledge, understanding of controls, knowledge of regulations and ability to manage clients and staff. 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.

  • Lead the delivery and management of client advisory/ consulting engagements. Engagements may take the form of designing and implementing regulatory compliant processes and functions, remediation of processes that have deficiencies versus regulatory requirements, gap analysis of processes versus regulatory and industry standards, delivering S166 reports and co-sourced audit engagements
  • Take a leading role in the development of client advisory/ consulting engagement opportunities by directing our efforts to bid for client work
  • Manage Protiviti and client staff in line with our risk management practices for the successful delivery of client engagements
  • Assist with the development of Protiviti thought leadership white papers, FAQs and marketing materials
  • Develop new relationships and work with the Managing Direct/ Directors to enhance and run existing relationships in order to maximize Protiviti's coverage
  • Market Protiviti's services in the UK Financial Services Market place to expand coverage
  • Liaise with other offices globally to leverage off current contacts and to provide a considered and consistent approach to the market

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

  • Broad understanding of the FCA and (ideally) BoE regulatory framework with deep understanding of multiple topics which may include Anti-Financial Crime, CASS, Treating Customers Fairly, Credit Risk Management, Capital Requirements, Operational Risk (non-exhaustive list)
  • Experience of S166 assignments and/or audit in the context of regulatory compliance.
  • A first-class track record of client service delivery. Candidates must have a deep understanding of the risks impacting the FSI sector
  • Experience developing risk-based frameworks, policies, procedures and checklists that promote best practice above minimum regulatory standards
  • Contributed to the design and implementation of target operating models for an effective Compliance function or regulation-impacted process
  • Excellent verbal and written communication skills
  • Strong presentation skills
  • Demonstrate a highly professional approach to the work environment.

  • Bachelor's degree in a relevant discipline; minimum 2:1
  • 7+ years in a related field, preferably in professional services and/or industry
  • A recognized FS industry qualification, i.e. Securities and Investment Institute, CFA etc. an advantage

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