AWM Regulation - Emerging Regulation & Conduct Manager

AWM Regulation - Emerging Regulation & Conduct Manager

  • Location

    United Kingdom

  • Sector:


  • Job type:


  • Contact:

    Victoria Sloan

  • Contact email:

  • Job ref:

    JN -012019-91951

  • Published:

    3 months ago

  • Expiry date:


  • Startdate:


  • Consultant:


The world of Risk and Regulation has been going through a period of fundamental change – it continues to evolve in a fast moving political and commercial environment as do the businesses it affects. We are working across the financial services sector with our clients dealing with the impacts and adaptations required - join us on the journey and be part of creating a new and relevant financial services industry.

The Asset Management Regulatory team has significant growth plans and is looking to expand its conduct and emerging regulation offering. The team is looking for ambitious and dedicated candidates at manager level who have gained experience in the FCA’s conduct of business agenda and implementing new regulations for investment firms to help us achieve this growth. We typically apply this knowledge in the context of regulatory reviews, advisory projects, gap analysis and implementation planning, preparing clients for FCA visits and delivering skilled person reviews


  • Leading projects and running work streams on medium and larger engagements - working as part of a project team on client sites and day-to-day liaison with clients
  • Taking responsibility for the conduct of reviews and preparation of reports; making oral presentations of findings/recommendations to client management team(s)
  •  Identifying the impact of prudential regulatory change and supporting clients as they adapt to the challenges the new regulatory landscape presents.
  • Supporting technical analysis and developing an area of specialism where you will become the 'subject matter expert'.
  •  Identifying and documenting key systems and controls for demonstrating compliance with applicable FCA regulations
  • Developing opportunities and winning new business, through marketing and sales activities and continuous client relationship programmes with senior client staff
  • People development, mentoring and coaching, including management of client facing teams
  • Taking responsibility for developing a broader capability with additional talent, as the business allows.


  • Knowledge and experience of the asset management sector, including a strong understanding of the FCA’s supervisory approach for asset and wealth management firms and an understanding of forthcoming regulations.
  • Technically proficient in the conduct aspects of the FCA regime including recent thematic reviews, the FCA market study and the introduction of the Senior Managers Regime for asset and wealth managers as well as elements of the broader FCA regime and requirements.
  • Experience in providing regulatory consulting advice to both established companies and new entrants
  • The ability to make new contacts, listen to their needs and interpret this to identify new opportunities to assist them
  • Drive and determination to win new work, build our reputation and expand our service offerings to our clients
  • General understanding of compliance and governance structures, operations, and industry best practice in compliance
  • Excellent communication (both written and oral) and organisational skills.
  • Strong numeracy and report writing skills