Impress employers and recruiters.
Choose from hundreds of resume examples.

Impress employers and recruiters.
Choose from hundreds of resume examples.

Target Resume Now

About the Role

This role is within the Regulator Compliance team which provides advice and guidance to clients on all aspects of financial services regulation to help them stay compliant and evidence their compliance. The team focuses on conduct regulation and guidance as issued by the FCA and regulatory reporting overseen by the PRA. The work is diverse, engaging and purposeful.

Responsibilities

• Participate in the growth of services to regulated financial services clients by working with a wide variety of clients and delivering client engagements.
• Contribute to business development, e.g., by organising ‘key account’ activities, producing articles and presenting to clients.
• Provide compliance advice on a particular area of concern.
• Perform regulatory Compliance gap analyses, independent review or ‘health checks’ (including thematic or risk-based compliance reviews), and Internal audit subject matter expertise.
• Deliver FCA s166 Skilled Person Reviews.
• Assist in regulatory applications / responses / communication.
• Support the completion of prudential regulatory reporting.
• Design and deliver training.
• Support a client’s regulatory change project.
• Undertake compliance secondments.
• Develop and maintain regulatory frameworks, policies and procedures.
• Deliver assignments.
• Deal directly with client queries and communications.
• Write compliance reports for various audiences and levels of clients’ businesses.
• Work with members of the Insurance Risk Consulting and wider Financial Services Team (and clients).
• Keep track of regulatory and industry developments.
• Assist the engagement/project manager to ensure work is delivered within the agreed timeline and budget.
• Design and draft bespoke scopes or planning documents for client projects.
• Help to develop service offerings, and market to external and internal clients, for example by writing articles or contributing to presentations.
• Work with Managers to prepare client proposals.
• Assist in the development of training, engagement tools and methodologies.
• Identify risks and issues that could impact delivery of client projects and escalate these for support as required.
• Mentor, coach and develop more junior staff.

Requirements

• 2-3 years’ experience working within a professional services firm with a regulatory / compliance focus; the FCA, PRA or FOS; or, a compliance team of a regulated firm.
• Knowledge of key areas of FCA and PRA regulation, including SYSC, COBS, CONC, ICOBS, DISP, PERG and PRA prudential frameworks including Solvency UK.
• Ability to create high quality presentations or written reports to effectively communicate project findings.
• Experience in communicating with external clients or stakeholders.
• Ability to conduct legal or regulatory research, investigation, and analysis to inform relevant recommendations to clients.
• Experience in preparing, facilitating, documenting, and participating in client meetings and workshops.
• Manage time effectively with project management and strong organisational skills.
• Collaborate effectively across teams and service lines, with flexibility to take on work beyond immediate areas of expertise.
• Lead small/routine client meetings with support and oversight.
• Clearly articulate requirements and explain evidence relied upon if challenged.
• Be pragmatic, proportionate and measured in dealings with clients.
• Demonstrate attention to detail and an ability to critically review your own work.
• Actively seek expertise and knowledge of regulatory issues impacting on the financial services industry.
• Demonstrate excellent verbal and written communication skills.
• Analyse and understand issues and develop practical solutions.

Skills

• Regulatory Compliance
• Financial Services Regulation
• FCA Regulation
• PRA Regulation
• Conduct Regulation
• Regulatory Reporting
• Consumer Duty
• Operational Resilience
• Governance Arrangements
• Fitness and Propriety
• Solvency UK Reporting
• Recovery and Resolution Planning
• Exit Planning
• Project Management
• Organisational Skills
• Communication Skills
• Verbal Communication
• Written Communication
• Research
• Investigation
• Analysis
• Client Meetings
• Workshops
• Presentation Skills
• Report Writing

Location

• London

Work Type

• Full-time

Experience Level

• 2-3 years

Education Level

• Bachelor’s Degree or evidenced interest in law, business or finance
• Relevant professional qualifications would be beneficial e.g. Chartered Insurance Institute or International Compliance Association Certificate/Diploma

About the Company

• Forvis Mazars is a leading global professional services network providing audit & assurance, tax, and advisory services.
• Forvis Mazars in the UK spans 14 offices across the nation and has over 3,400 professionals, with 190 partners.
• We have a clear purpose and a shared commitment to shape a better future.
• You'll join a collaborative and inclusive team where you're supported to grow your skills, explore new opportunities, and contribute from day one.
• You'll work with a diverse client base, develop meaningful connections, and gain experience that extends beyond your local team.
• Together, we grow, belong and impact.

Equal Opportunity

• At Forvis Mazars diversity, equity and inclusion are central to our values. We value our people's unique backgrounds, perspectives, and experience, and know this diversity create better outcomes for our clients. We seek to attract, develop, and retain the best talent, inclusive of sex, ethnicity, disability, socio-economic background, sexual orientation, gender identity, nationality, and faith. We select candidates based on skills, knowledge, qualifications, and experience and aim to support all our team members to reach their potential. At Forvis Mazars, we promote an environment in which you can grow your skills, belong to a team that values your ideas, and make an impact that matters.