Risk & Compliance Manager - Transformation Manager

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

The role as Transformation Manager within the Next-Gen R&C team is key in the delivery of R&C advisory/consulting engagements in an innovative way leveraging technology from our global technology partners. This will extend Protiviti's relationships across the financial services and non-financial services regulated sectors.

  • Take a leading role in the development of Next-Gen R&C with the Managing Director/Directors across anti-financial crime, operational risk management, compliance and credit risk segments. This includes helping build relationships with chosen vendors, developing solutions using technology in an innovative way with a global team and helping drive sales activity.
  • Lead the delivery and management of client advisory/consulting engagements.
  • Develop, with Protiviti's support, existing or new areas of relevant specialism and expertise to differentiate ourselves in the marketplace.
  • 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 with respect to GRC issues
  • Develop new relationships and work with the Managing Director/Directors to enhance and run existing relationships in order to maximise Protiviti's coverage.
  • Market Protiviti's services in the market place to expand coverage.
  • Liaise with other offices to leverage off current contacts and to provide a considered and consistent approach to the market.
  • To work with the wider team to grow the business through identification of sales opportunities and ensuring the professional execution of client engagements.

  • Support the development of proposals and bid materials for client advisory/ consulting engagements primarily within the R&C team
  • 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
    • Actively managing project costs and billing
  • Support the development of Protiviti propositions and thought leadership including contributing to white papers, FAQs and other marketing materials
  • Assistance with the development of engagement methodology and procedures some of which will be generic and others more specific, including aspects of FSA requirements and supervision, operational risk frameworks and assessments, governance issues including enterprise risk management and subject matter internal audit reviews
  • Providing subject matter expertise or developing such to internal audit reviews and other projects led by colleagues in other solution areas
  • 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.

  • Development of digital use cases or design and implementation of digital tools to enhance customer or user experience, reduce risks and costs and improve control and surveillance
  • Practical experience of one or more segments of the Financial Services Market and demonstrable knowledge and understanding of the organisations and individuals within those segments (refer to segments above).
  • Experience within Advisory Consulting firms, with a specialism within compliance, anti-financial crime, governance and control, internal audit, or an experienced compliance professional within any of these functions in a leading FS firm, the FSA, trade association or a FinTech.
  • Working experience with one or more of the following (or competitor) technologies - Ayasdi, Quantexa, Fenergo, Elliptic, Feedzai, Actimize, SAS, BAE Netreveal, Pitney Bowes and Cube.
  • Demonstrate a highly professional approach to the work environment and client service delivery, including writing, presentational and project management skills
  • Clear verbal and written communication skills
  • Preparing and delivering presentations to teams and clients
  • Proficiency in Microsoft Office suite applications with specific emphasis on Word, Excel, PowerPoint, VISIO etc.

  • Prior management and direct supervisory experience in a team environment
  • Exposure to some of the following
    • SYSC and approved persons regime, governance and the three-lines of defence governance model,
    • Preparing for regulatory visits
    • Compliance function design and operation,
    • Conduct risks such as product governance, financial promotions and marketing, suitability of sales and advice, client order handling, conflicts of interest, client reporting, complaints handling,
    • Pre and post trade compliance checks,
    • Transaction reporting,
    • CASS.
    • Familiarity of financial crime (AML, Sanctions, ABC, Fraud and Market Abuse) and of business continuity, disaster recovery and data protection/security.
    • Operations (Buy/Sell side and/or Clearing/Exchange)
  • Foreign language skills

  • Bachelor's degree in relevant discipline, 2:1 desirable and or relevant professional experience
  • 5+ years working in consulting, regulatory compliance, RegTech, internal audit and assurance services, or related field, either in professional services or industry.
  • A recognised FS industry qualification, i.e. Securities and Investment Institute, CFA etc. an advantage

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