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About the Role
The Banking Risk Consulting team delivers outsourced and co-sourced internal audit and internal controls services, supporting a broad range of risk and governance advisory engagements. This role involves managing a client portfolio, overseeing internal audit plans, risk assessments, client engagement, and committee presentations.
Responsibilities
- Manage a portfolio of clients, overseeing the preparation and delivery of Internal Audit plan, Risk Assessments, client engagement, committee presentation and reporting.
- Perform and manage internal audit fieldwork, supporting a team of internal auditors.
- Prepare and review draft internal audit reports and other deliverables.
- Lead opening and closing meetings with key client contacts.
- Develop and maintain good client relationships.
- Provide on-the-job training and supervision of junior team members.
- Identify opportunities and prospects for new work.
- Lead the preparation of client proposals/pitches.
- Ensure Quality and Risk standards and procedures are maintained across the team.
Requirements
- Experience of planning, delivering and managing internal audit engagements.
- Experience of managing a portfolio of investment management, asset management & wealth management.
- Experience of delivering and leading internal audit reviews across various areas including Investment Management, Product Governance, Conduct Risk, Best Execution, Market Abuse Surveillance, Client Assets, Investment Operations, Valuation and Pricing, Compliance Frameworks, Operational Resilience, Fund Governance and Oversight.
- Good understanding of the UK regulatory framework applicable to investment managers, asset managers and wealth management firms, including relevant FCA requirements and expectations.
- Strong communication and report-writing skills, with the ability to communicate complex regulatory and risk matters clearly to senior management.
- Confidence in delivering training sessions, webinars and presentations to clients and colleagues.
- Experience of presenting Internal Audit findings, themes and assurance opinions to Audit Committees and other senior governance forums.
- Strong interpersonal, client-handling, commercial and project-management skills.
Skills
- Internal Audit
- Risk Assessment
- Client Engagement
- Committee Presentation
- Reporting
- Internal Controls
- Risk Management
- Governance
- SOX
- UK Corporate Governance Code
- Enterprise Risk Management
- Combined Assurance
- External Quality Assessments
- Investment Management
- Asset Management
- Wealth Management
- Product Governance
- Consumer Duty
- Conduct Risk
- Conflicts of Interest
- Personal Account Dealing
- Best Execution
- Trade Execution
- Dealing Controls
- Market Abuse Surveillance
- Market Conduct
- Client Assets
- CASS
- Investment Operations
- Valuation
- Pricing
- Compliance Frameworks
- Regulatory Change
- Operational Resilience
- Business Continuity
- Fund Governance
- Fund Oversight
- FCA Requirements
- Communication
- Report Writing
- Training Delivery
- Presentation Skills
- Client Handling
- Commercial Acumen
- Project Management
Location
- UK
Work Type
- Full-time
Experience Level
- Management
- Senior
Education Level
- ACA, CA, ACCA, IIA, CII or equivalent professional qualification
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.