AWM Regulation – Prudential Regulation Manager

AWM Regulation – Prudential Regulation Manager

  • Location

    United Kingdom

  • Sector:


  • Job type:


  • Contact:

    Victoria Sloan

  • Contact email:

  • Job ref:

    JN -012019-91950

  • 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 leading prudential regulatory business. The team is looking for ambitious and dedicated candidates at manager level who have gained experience in ICAAP, CRD IV, BIPRU and the EBA’s proposals for a new prudential regulatory framework for investment firms to help us achieve this growth. We typically apply this knowledge in the context of regulatory reviews, business restructuring, new business set up and transactional work.

About the role

The increased focus by the FCA on asset manager’s interpretation of prudential regulation, the quality of ICAAP documents and processes and the effectiveness of risk frameworks means firms are increasingly requiring advice on how to adapt to changing environment. We are looking for new talent to play a key role in taking our prudential regulatory offering to clients as we continue to build a team that is known in this market as the premier regulatory consulting team.

As part of our Financial Services Risk and Regulatory Practice, the asset management regulatory team works across the broad spectrum of regulation and works with colleagues from across our network to deliver innovative solutions to clients. The team comprises experts in a number of fields including prudential regulation, conduct risk, compliance and governance and is made up of ex-regulators, compliance professionals, auditors and lawyers. We are looking to add to this already impressive talent pool.


  • 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 risk and capital management processes and procedures.
  • Technically proficient in the prudential aspects of the FCA regime including ICAAP, CRD IV, COREP reporting 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
  • Demonstrable experience with the FCA and/or with another regulatory consulting practice would be ideal