Regulatory Executive / Manager
Responsibilities of a Regulatory Executive / Manager
Provide input into the application of regulatory standards and support the development of solutions to resolve complex regulatory risks and issues
Assist / lead with the formulation of conclusions and regulatory recommendations
Support the analysis of emerging regulatory issues, the articulation of a business point of view and the development of the business proposition
Support business development through working on client proposals
Consider sustainability when formulating regulatory solutions for clients.
Identify and escalate potential business opportunities on existing engagements.
Skills and Experience you will need as a Regulatory Executive
Wholesale or Investment Management FSA regulatory experience at the FSA, a Financial Services organisation or another Advisory firm
Knowledge of FSA handbook including Conduct of Business, SYSC, and CASS.
Strong academic background including a Bachelor's degree.
Can translate regulatory requirements into practical solutions
Experience with the design, development and implementation of internal controls for financial services business processes is an advantage
Analytical skills; specifically, the ability to assess and decompose financial services industry processes utilising a risk and control focus
Proven track record of assessing suitability of advice in relation to financial instruments/products
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