Senior Manager - Regulatory Wealth & Asset Management 

My Client is a leading consultancy with offices across 140 countries. Their Risk and Regulatory practice provides advisory services to assist leading organisations in the Wealth and Asset Management sector. They have a proven track record of helping clients in this area, and have significant growth plans given the opportunities arising from increasing regulatory scrutiny and supervision.

Roles & Responsibilities

 Advising clients on key areas of risk and regulatory compliance within the Wealth & Asset Management sector and the challenges that changing regulation has on their business models. This will include supporting clients on the following areas: 

• Assessing Governance, risk and controls and corporate culture
• Leading regulatory change and implementation programmes
• Pre/Post regulatory implementation health checks
• Supporting firms in the delivery of their own regulatory and compliance responsibilities
• Operational risk management reviews and enhancement
• Implementation of best practice frameworks and KRIs
• Non-financial regulatory reporting (MIFIR/EMIR & SFTR)
• Horizon scanning and the impact of regulatory change
• Provide regulatory due diligence
• Delivering client engagements, working in both small sized teams and larger, multi-disciplinary teams. This would include the whole engagement lifecycle: Planning to completion and reporting directly to the engagement partner
• Providing advice regarding regulatory requirements affecting the WAM sector
• Delivering high quality written outputs for client consumption.

Essential Skills for the successful candidate:

• Strong understanding of businesses, structures, governance frameworks, and process of firms in the Wealth & Asset Management sector.
• Strong communication skills and ability to influence and deal with senior individuals.
• Knowledge of the UK/EU regulatory environment, including the following:

-SM&CR, SFDR and wider ESG regulations, MiFID II, EMIR, SFTR, IFDR, Assessment of Value and Product Governance, Conduct and suitability requirements, Operational Resilience

• Professional qualification preferred, with strong knowledge of regulatory rules and guidance but crucially practical application within the WAM industry.
• Demonstrable experience in a financial service role with specific experience in a risk or regulatory role
• Excellent communication and presentation skills, including an ability to communicate well with clients (internal and external) in writing and verbally.
• Understanding of regulatory developments and key current issues facing clients.

Senior Manager - Regulatory Wealth & Asset Management