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Manager - Financial Regulations Team

Posted: 8 Jun 2021 Closes: 9 Jul 2021
London Competitive
Permanent & Full-time PwC_214429WD-int

The Financial Regulation Team forms (FRT) part of PwC's Risk Management practice and sits within the central Compliance team (second line of defence). Its main purpose is the provision of advice, guidance and oversight to support the Chief Compliance Officer (CCO) in ensuring that PwC discharges its legal and regulatory responsibilities in areas including, but not limited to, Financial Conduct Authority regulation, Market Abuse and Anti-Bribery and Corruption.

The team is based in London and there would be a requirement to be present in the office as appropriate, but remote working on an agreed basis is also possible and this role is open to candidates on a national basis.

We are seeking a compliance /risk practitioner who:
  • has appropriate 'hands on' experience of FCA regulations, sourcebooks and their application;
  • has an aptitude for digesting and interpreting new regulations in order to provide guidance and direction to client-facing staff;
  • is highly motivated and sufficiently confident to work independently, but with support from a more experienced subject matter expert;
  • is enthusiastic about developing themselves and others;
  • has a proven ability to work to deadlines.

The firm is facing increased regulatory challenges and going through a period of transformation. This a vacancy has arisen as a result of this and will provide a stimulating and challenging opportunity to:
  • Develop a deeper industry specialism that provides career choices both within the firm & wider marketplace;
  • Gain experience of the PwC approach to compliance disciplines and in particular FCA and Anti-Bribery regulation;
  • Acquire knowledge of the 'products' and services offered by the firm;
  • Develop relationship management skills, by dealing with senior partners & staff within the firm on regulatory compliance matters and sensitive client issues.
The successful candidate will report to the Senior Manager in the FRT as well as helping supervise and coach junior team members as appropriate.

The successful candidate will be responsible for managing their own workload, in consultation with the Senior Manager, and help in ensuring that all relevant matters are brought to the attention of the Chief Compliance Officer.

The role involves supporting our objectives by taking responsibility in areas including:
  • responding to queries relating to the interpretation and application of FCA rules/guidance and the firm's related policies;
  • liaising with the wider areas of Compliance and Risk to ensure that other relevant regulatory and risk considerations are taken into account;
  • the development of internal policies and procedures;
  • the provision of subject matter advice to the client-facing practice;
  • awareness and training;
  • periodic monitoring;
  • formulation of the firm's response to regulatory initiatives and investigations.

Ideally, the candidate will be educated to graduate level and have a recent experience of working in a FCA regulated environment;
They will typically have experience within the risk management/ compliance functions of a professional/financial services firm or relevant experience from a regulatory body.

Key required skills are an ability to:
  • acquire and apply technical expertise;
  • communicate with impact and empathy to individuals at all levels of seniority:
  • observe key principles of confidentiality and sensitivity;
  • be adaptive, open minded and agile;
  • be passionate about client service;
  • be curious to learn and share;
  • demonstrate courage, integrity and the confidence to make independent decisions.

The application closing date is 31 May 2021.
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