Our client is looking for a Chief Compliance Officer to join their team. This role reports directly to the CEO and the Board of Directors. This individual will be responsible for managing the company's compliance responsibilities. The ideal candidate will understand how to manage and mitigate compliance risks within a fintech consumer lending environment. We are looking for someone who has an entrepreneurial mindset and a proactive attitude, focused on finding workable solutions with a keen awareness and understanding of the wider business, economic and regulatory environment. Responsibilities: Provide compliance oversight, advice and guidance to all areas of the business relating to FCA regulation and Central Bank of Ireland regulation, applicable industry codes and guidance Prepare the Annual Compliance Plan and ensure effective reporting to the Executive and the Board throughout the year Review the existing policies, procedures and processes to ensure that they are appropriate and kept up to date, including those relating to Data Protection and AML Oversee the delivery of appropriate Compliance Training for employees, Executives and the Board Responsible for ensuring that business operations are conducted in line with the applicable compliance regulations, guidance and internal policies and procedures Provide support to senior managers on compliance matters Review and evaluate existing products, new products, promotional campaigns and product feature launches to ensure compliance with law Maintain and promote our culture of Treating Customers Fairly, and report on the effectiveness of TCF KPIs to the Executive and the Board Engage with third party compliance auditors Manage relationship with Regulators including the FCA and Central Bank of Ireland Key Competencies: Strong compliance experience in Consumer Finance, with knowledge of Financial Services Laws and experience of the regulatory frameworks including FCA and other relevant regulatory bodies Experience in a fintech business is preferable Consumer credit / lending experience Experience in compliance monitoring, oversight, reporting and MI analytics Execution-focused, with intellectual strength and the flexibility to quickly metabolise complex issues and provide workable solutions Ability to work across our technology, credit and operations teams to ensure compliance with Law and effective monitoring at an early stage of product/feature development and for the entire lifecycle of the product Excellent communication and influencing skills, with the ability to deal with complex issues and Projects, whilst managing multiple (and potentially conflicting) stakeholder requirements and teams in numerous jurisdictions Ability to manage and lead a team effectively Must have acted as an FCA Approved Person, or demonstrate the ability to qualify as a Senior Manager under pending FCA regulations
Leading consultancy firm with a focus on regulatory compliance (FCA). This role looks after all things consumer credit, from CCA and CONC through to MCOB. Scope of the role; Provide technical compliance support to the company's clients within a range of projects and engagements Support junior colleagues in their work and through their professional development through coaching and mentoring Negotiate new contracts with clients Have the ability to understand client needs/demands and see the 'bigger picture', identifying and recommending best solutions (or practice)/ proposals for clients Have a strong commitment to personal development ensuring technical awareness and maintaining up to date regulatory knowledge, adding value to the business by disseminating information to departments Talking to new client prospects, providing technical advice and proposals, creating and building upon client leads Working closely with the Marketing manager to develop a marketing plan relevant to business area Agreeing internal business targets and KPIs with the Board from time to time and working to them Agreeing the terms of new client instructions Managing client projects from beginning to end Building client relationships at all levels Maintaining technical knowledge in the light of changing regulations Reviewing colleagues work and providing feedback and advice both to improve the specific work and to assist that individual's skills Maintaining records of all activities carried out and updating the internal systems accordingly and in line with company procedures Researching specific technical issues and providing feedback to clients and colleagues Providing ongoing input to company management regarding improvements that may be made in the company's services, procedures and the business generally Management and Development Strong commitment to personal development ensuring technical awareness and maintaining up to date regulatory knowledge Qualifications; Appropriate professional qualifications which might include any of ACA, ACCA, LLM, MBA and industry qualifications A minimum of 15 years commercial experience involving financial services and at least 5 years technical compliance experience Three years client facing experience in professional services or consulting roles Strong COBS, SYSC and PRU regulatory knowledge is essential Excellent interpersonal skills Outstanding verbal and written communication skills Ability to manage own time effectively and organise competing priorities Clear understanding of the commercial role of Risk Management Strong PC skills in office applications Highly structured working approach Technical knowledge; Knowledge of the relevant regulatory sector(s) Knowledge of FCA firm types IT capability including Microsoft applications Managing learning and building for the future FCA application process including usage of Connect Firm Risk Frameworks Evaluating the commercial impact of regulatory developments Policy & Procedure writing Project Management Researching/writing/presenting training material Sales Proposals, construction & delivery
A leading consulting firm is looking to hire an Assistant Director in its Valuations team focusing on contentious valuations work. The role: Managing major contentious valuation assignments Working on cases from initial client meetings through to delivery of Expert Reports for the Court / Tribunal and assistance in preparing the named Expert and legal team for trial / hearing Developing target client relationships in order to further develop the Contentious Valuation business and their career To have a broader perspective of potential issues encountered when managing diverse teams and the strategies to overcome them; have a clear understanding of the firm's commitment to creating a more inclusive culture Previous experience: Experience of working on contentious matters, i.e. preparing reports for service at Court and/or an Arbitral Tribunal Strong experience of preparing valuations either for commercial or contentious matters. Exceptional analytical and oral and written communication skills with a strong attention for detail Ability to take complicated analysis and to present and communicate it in a concise and clear manner Client focus, with ability to work quickly and establish effective working relationships Logical and methodical approach to problem solving Project management and organisational skills Appetite to be involved in business development activities
A successful consultancy are looking to recruit a highly motivated and well organised individual to lead the Property sector within the firm and to assist the Owner managed Business team. This will include development of the market offering and profile of the business within this sector and will have responsibility for managing the overall delivery of services within this sector. Within Property taxes, the tax advice can vary from assistance on the SDLT on the acquisition of a new property, advising international investors on their structures to review and implementing structures for property developers and advising intermediaries and advisers. Duties and accountabilities: Take ownership for the operation of the team/work/portfolio, relevant work processes and the effective delivery of advanced tax planning and complex tax technical services by coordinating the appropriate teams to provide excellent client service and meet all targets. Interact fully with more complex clients in conjunction with Partners ensuring they are kept informed of progress & responding to client requirements and queries by applying specialist technical knowledge and experience. Assist the Partner to communicate regularly with the team on key objectives, performance & future goals to give direction and purpose to share knowledge and develop the expertise of the team. Plan, delegate and manage the allocation of work appropriately to the person or team with the skills best suited to deliver the service to the client working in collaboration with the team. Develop a network of professional contacts and build a profile readily recognisable as an expert in your field' outside the Firm by use of technology and social media. Liaise with Marketing to identify and market to new sources of work with a view to providing regular updates and hold meetings with new contacts for conversion to clients. Analyse markets and understand competitive offerings in order to identify prospective new business and implement plans and a targeted approach for development of potential clients and business relationships. Be pro-active and identify opportunities to act on the interpretation of new legislation with a view to winning new work. Act with honesty and integrity in all dealings with clients, contacts and team members whilst respecting confidentiality and building trust. Qualifications: Professionally qualified - e.g. ATT/CTA/ACA/ACCA Appropriate experience within relevant tax discipline at this level. Technical expertise in specialist field. High level of client handling and relationshipskills
Our client is a successful operating Division of a large residential development organisation. They are seeking to recruit a candidate of suitable calibre to assume the Number 1 finance role within this growing operation. Reporting to the Managing Director on a daily basis your responsibilities will include the following: Weekly and monthly sales forecasting Monitoring construction / sales progress and risk Monthly Balance sheet forecasting - involvement in the rolling three year planning process to ensure that funding and capital employed balances are accurately forecast Balance sheet control - to ensure the completeness of liabilities and the recoverability of assets. Balance sheet management - driving and managing the month-end process, ensuring the proper application of Group accounting policies and procedures Preparing Group accounting and tax papers and returns Liaising with Group teams on tax queries Other compliance matters (annual returns, national statistics etc) To succeed in this visible position you will be a qualified Accountant, ideally with experience of the construction/property development sector. You may already be operating as the No.1 finance in your current role, or be seeking your first Director position.
Midlands Province, Zimbabwe
The Client- My client is a leading international financial services provider who are currently looking for a Head of Enterprise Risk initially on a 12 month fixed term contract basis, with a view to commencing the role in January 2019. This is a key role that sits within the 2nd line of defence, responsible for ensuring that the Enterprise Risk Management (ERM) and Operational Risk Management (ORM) Framework is designed, implemented and embedded and fit for purpose including Risk Appetite, Strategy, Policies and supporting standards. Responsibilities: Through a small team, lead the implementation and ongoing use of the ERM Framework to drive value to business decision making, including, but not limited too; Providing independent oversight and challenge of 1st line Enterprise Risk Management activities. Producing high quality, value adding, Enterprise Risk Reporting. Providing appropriate MI and ad hoc reporting to ensure that emerging risks are identified and appropriate action plans put in place. Supports the business in determining the risk appetite. Provides support and expert assistance to internal projects, creating value though a commercial and pragmatic approach to Risk Management. Creating a risk aware culture, providing risk expertise to the business, including the design and implementation of risk training. A member of the Executive Risk Committees and a regular contributor at Board Risk Committee, including supporting the CRO and governance support teams in managing the committee agendas. Key Requirements: An experienced and determined senior manager with significant experience working at an equivalent level preferably working with both Retail and Online businesses Experience of working in the Financial Services Sector and within an FCA regulatory environment Effective communicator both verbally and in writing, exhibiting good questioning and listening skills Highly developed influencing skills and the ability to challenge at all levels of Executive and Senior management Strong inter-personal skills to enable effective communications and working relationships both internally & externally
184 The Promenade, Blackpool FY1 1RJ, UK
Location: Home based - Nationwide remit My client is a leading compliance consultancy firm. They are currently looking for an individual who will report into the CEO and primarily be responsible for winning new business, providing technical compliance support to clients across various subjects and provide coaching support to junior colleagues in their professional development. The role looks after all thing's consumer credit, from CCA and CONC through to MCOB. Scope of the role: Provide technical compliance support to the company's clients within a range of projects and engagements Support junior colleagues in their work and through their professional development through coaching and mentoring Negotiate new contracts with clients Can understand client needs/demands and see the 'bigger picture', identifying and recommending best solutions (or practice)/ proposals for clients Have a strong commitment to personal development ensuring technical awareness and maintaining up to date regulatory knowledge, adding value to the business by disseminating information to departments Talking to new client prospects, providing technical advice and proposals, creating and building upon client leads Working closely with the Marketing manager to develop a marketing plan relevant to business area Agreeing internal business targets and KPIs with the Board from time to time and working to them Agreeing the terms of new client instructions Managing client projects from beginning to end Building client relationships at all levels Reviewing colleagues work and providing feedback and advice both to improve the specific work and to assist that individual's skills Researching specific technical issues and providing feedback to clients and colleagues Providing ongoing input to company management regarding improvements that may be made in the company's services, procedures and the business generally Management and Development Qualifications, Skills and Experience: A minimum of 15 years commercial experience involving financial services and at least 5 years technical compliance experience Three years client facing experience in professional services or consulting roles Strong COBS, SYSC and PRU regulatory knowledge is essential Excellent interpersonal skills Outstanding verbal and written communication skills Ability to manage own time effectively and organise competing priorities Clear understanding of the commercial role of Risk Management Strong PC skills in office applications Highly structured working approach In terms of location, the client is happy to consider a home-based location but with extensive travel as required to client sites. Salary is broad and commensurate with experience but will reflect the significance of the role.
A newly created role due to increased growth and success of the business. This will be the lead compliance contact for all regulatory matters pertaining to this part of the Group. Involving setting up processes, systems and processes to ensure a robust compliance framework is in place and manage all regulatory requirements coming from the FCA. Advising the business on its regulatory requirements relating to the general insurance activities. Responsibilities: Be aware of current compliance requirements and be up to date with compliance regulation updates so that a measured and effective compliance strategy may be planned and implemented To work with the Group Compliance Officer and Senior Management in setting up appropriate systems and controls to ensure that the firm meets its regulatory obligations Regularly monitor and update the systems and controls to ensure that they are performing the function they should be Maintain records to satisfy evidential requirements of compliance, which may be requested by Regulatory requirements Undertake such action as is necessary to ensure compliance with any further direction issued by the FCA Manage the company Compliance Plan and any other additional project management to deliver compliance to FCA regulations To work in conjunction with others to monitor and record compliance of the Company's activities, including overseeing of required reporting to the FCA and other regulators Network with other professional bodies, stakeholders and Regulatory Authorities to ensure that the business is aware of ongoing developments Represent the company to product providers, auditors, agents and the FCA and any other bodies in connection with FCA regulations Provide support and input of the training of staff, preparing for professional qualifications and the monitoring of staff as they adhere to a policy of continuous professional development as required by regulation Respond to any appropriate documents published by the FCA in relation to general insurance activities Key Competencies: Good understanding of general insurance products (including Lloyds/ London markets) Ability to understand the impact on the business of any FCA changes Good working knowledge of data protection and financial promotions Coaching, people development and people skills Energy, drive and self-motivation Flexibility, initiative and influencing skills Decision making and excellent communication skills
A newly created role due to further growth and success of the business. The objective of this role is to lead the Compliance team and to provide advice and guidance to key stakeholders and lead a team of Risk & Compliance partners to ensure that risks and issues across all businesses are appropriately identified and managed. Responsibilities: Engage with stakeholders on BAU and change activities within the business to ensure compliance if maintained and developed Manage the implementation of the compliance framework across operational and change activities Lead and motivate the compliance team in their advisory and assurance activities and personal development Work with stakeholders, directly and through the compliance team to propose and agree actions required to mitigate key risks Provide advice and support which enables management to make informed decisions which reflect regulatory expectations and risks Enhance and maintain an effective compliance culture Lead and oversee delivery of Compliance training and awareness activities Leading the Business Risk and Sales Quality Teams to provide assurance to the business Represent compliance at relevant meetings and committees and third party providers and partners Key Competencies: Strong technical background of FCA regulatory requirements across General Insurance - ideally in a distribution company Strong understanding of a range of compliance frameworks Strong communication skills, both orally and in writing across all levels of management Ability to build successful relationships with a number of senior stakeholders Ability to operate effectively within a fast paced organisation Ideally have experience of advised sales processes
The Head of Compliance, Risk and MLRO is responsible to the Board through the General Manager for all Compliance, Risk and Financial Crime matters within the business including all facets of compliance including AML, money laundering, counter terrorist financing requirements as well as dynamic monitoring of all remittance activity. The Head of Compliance, Risk and MLRO needs to consistently demonstrate a practical hands-on approach in all aspects of the role. Key Responsibilities Ensure that Compliance is at the heart of the business Ensure business policies and procedures are fully aligned to all applicable regulatory requirements and best practice standards Own the MLRO and nominated officer role including the responsibilities as required by HMRC, FCA and the businesses AML/CTF Policies Build and maintain strong relationships with Regulators in the UK and all jurisdictions where the business operates Ensure there is a comprehensive and effective training programme in place for the business's 180 + UK and European Representatives, its staff, its Board and business operations Be a member of the Senior Leadership Team Management of the Compliance Team Leadership in all Compliance, Risk and Financial Crime matters across the business and, as required, the businesses wider network as evidenced by meeting/exceeding regulatory requirements and adopting best practice compliance processes, standards and controls Ensure that business has a comprehensive and robust approach to all Compliance and Risk matters in its second line control function Represent the Compliance function internally and externally (including financial service providers, regulators, external auditors, external bodies, etc.) The role is London based with European and other jurisdictional responsibilities The HoC's duties will include: Direct line management of Compliance team Leading and developing the Compliance Team to competently manage day to day Compliance activities in all business areas and units Providing a continuous and comprehensive training programme for Representatives, staff, etc. that embeds a strong culture of compliance throughout the organisation Develop the capability to become the centre of compliance knowledge and excellence Work closely with the Marketing and Business Development units in developing and maintaining a fit for purpose Compliance approach and discipline that is fully aligned to growing customers volumes (both personal and non-personal), remittance volumes and revenues Role Requirements The candidate will have deep knowledge of Compliance matters and will likely have previously held the MLRO title or at DMLRO level and can demonstrate their capability to take a step up A seasoned professional with a good understanding of regulatory risks and controls around MSB's and money remittances Confident and positive approach; able to interface with all levels of the organisation Strong relationships with UK Regulators (FCA and HMRC) Experience of working in culturally diverse businesses Good communication skills and can ideally demonstrate experience of working in a business where English may not be the first language for all staff Fully conversant with all Windows Office based software A genuine hands on and lead by example approach Willing to travel as and when required
Dudley Rd, Birmingham B18 7QH, UK
Overview Reporting directly to the Head of Conduct, Operational and Regulatory Risk, this role will provide leadership to the 2nd Line Conduct and Regulatory Risk Team encompassing Compliance. The role holder will support both regulatory relations and management of the Senior Management Functions and Certification Regime (SMF&CR) framework. Responsibilities Develop, implement, lead and report on end to end Conduct and Regulatory Risk Frameworks, ensuring that they are fit for purpose for the size, nature and complexity of the Bank and comply with regulatory and legislative requirements (e.g. FCA/PRA Handbook) Direct oversight of the Conduct & Regulatory Team, minimising risks from the effective design, implementation and maintenance of appropriate controls, policies, procedures, monitoring systems and compliance monitoring assessments. Deploy appropriate Conduct/Regulatory Risk Advisory and Oversight mechanisms and tools partnering key business stakeholders to provide proactive advice and challenge to ensure the effective deployment of appropriate controls and processes across the Bank including demonstrating that it acts with integrity in its dealings with customers and the markets it engages in and that Conduct Risk culture is embedded throughout the organisation. Pro-actively oversee the business, evaluate and provide effective integrated assurance to ensure the integrity of policies controls, risk assessments, identification and remediation's, providing forward looking dashboards and strong qualitative reporting to the Executive Management on current, emerging and thematic risks or issues. Recruit, lead, manage, develop engage and motivate people in line with the Bank Management Charter to ensure they know what is expected of them, maximise their performance and develop their potential. Effectively manage and influence internal and third-party resources and budgets to provide an efficient and proportionate risk-based approach ensuring strong subject matter expertise to advise, challenge and where necessary train/educate at all levels across the organisation. Assist with ad-hoc investigations, external reporting and the regular provision of regulatory horizon scanning and associated impact assessments. Work proactively with the CRO group and Business in establishing and monitoring Compliance across the bank, ensuring the right 'tone from the top' is created and cascaded and where change may be required. Deliver one off activities and projects to the outcomes and standards agreed with line manager. Experience Required Extensive experience in Regulatory, Conduct and Compliance, with significant experience at senior management level within a retail banking or similar regulated environment Extensive experience of leading, motivating and developing people/teams. In depth technical knowledge and practical experience of PRA/FCA requirements and standards Commercial, business focussed with strong judgement and integrity Excellent oral and written communication, facilitation skills and ability to present confidently and to work effectively with staff and management at all levels and to engage and manage stakeholders, developing effective relationships internally and externally. IT literate with good knowledge of Microsoft Office packages, particularly Excel and Word Calm and diplomatic, with strong negotiation and influencing skills with the ability to display a range of influencing styles. Familiar with sophisticated and integrated risk management processes and tools Understand how to control risk and appropriate monitoring systems
133 Oldham St, Manchester M4 1LN, UK
My client is looking for someone to lead the technology and business change required to deliver the Financial Services Development Roadmap and support wider group initiatives. Responsibilities Responsible for delivering technology and business change across Financial Services and to support change for any wider group initiatives. Responsible for the production and presentation of business cases and benefits for initiatives/projects, working with stakeholders across Financial Services and the wider business. Overall responsibility for ensuring all FS business requirements are clearly defined before progressing further through the change process. Act as Business Lead for any change across Financial Services and work with the business leads across other areas of the business to promote FS change and identify other change initiatives that impacts FS. Overall responsibility for the FS squads that will deliver the change, with direct line management responsibility for Product Owners for these squads. This responsibility includes working closely with IT to ensure the squads have the necessary resource and expertise to deliver the change. Responsible for tracking the delivery of the change portfolio for FS, highlighting key risks and issues and proposing solutions. Post implementation, responsible for tracking benefits delivery and regular reporting to senior management. Champion innovation and embed a culture of test and learn within the team and working with the innovation team in IT and other stakeholders across the business to promote this culture. Overall responsibility for the configuration of FS systems where this lies outside IT and with business teams - this includes ensuring the appropriate level of governance for any system configuration changes. Skills & Experience Minimum of 3 years' experience working at a senior level within Financial Services The role holder will be required to engage with other senior colleges across the business, representing FS, and an ability to influence is essential Good understanding of technology and change processes, specifically working under an agile development framework. Strong commercial skills and good understanding of finance to support the development of business cases. Strong analytical skills are desirable and the ability to communicate with colleagues at different levels is essential
The Client- My client is a leading professional services firm; they are recognised for their commitment to delivering an outstanding quality of client service, and enabling people to excel in everything they do. The role The Corporate Finance Advisory (M&A) team provides corporates, private equity houses and other clients with a full suite of M&A services advising on acquisitions, divestments, joint ventures, buy-outs and licensing, a significant number of which are cross-border or international in nature. Responsibilities Working across the TMT sectors on a range of buy-side and sell-side transactions Assisting with day to day management of transactions which includes preparation of information memoranda, management presentations, valuation analysis and taking responsibility for preparation of information and client communications Industry research for both deal origination and transaction analysis Valuation work and Financial modelling, including DCF and LBO analysis Contribution to marketing and business development opportunities Requirements To qualify for the role you must have: ACA/CFA (or equivalent) qualification (not essential depending on other experience) Ideally some transactional experience gained on client engagements or on secondment Excellent numeracy skills with keen attention to detail and the ability to absorb and analyse large amounts of data quickly Client focus, with ability to work quickly and establish effective working relationships Enthusiasm for and ideally previous exposure to the TMT sectors Excellent oral and written communication skills Logical and methodical approach to problem solving Project management and organisational skills Ability to undertake detailed financial/commercial analysis for inclusion in client reports The self-confidence/appetite to be involved in business development activities Ability to develop, coach and motivate junior members of the team
Our client is a major national residential developer, a leading player in the industry who are experiencing substantial growth. This Client does not provide sponsorship. The role- They are seeking to recruit a candidate of suitable calibre to assume the role of Finance Director for one of their largest and most successful regional offices Working closely with the Managing Direcor in a truly business-partnering capacity your responsibilities be wide and varied and will include: Key member of Divisional Board Ensuring full updates on financial results and forecasts; Ensure Board members fully aware of policies and procedures; Provide financial analysis and impact of divisional business decisions Manage and develop the Finance Team Significant interaction with other Departments to facilitate the efficient operation of the Division and accurate and timely reporting of information Ensure Financial system is kept up to date and is accurate, including AMIS and Homebuilder Valuations: Responsibility in conjunction with the Project Director and Commercial Director for the cost control of each development including budgetary management, and active participation in the monthly valuation process including challenge on cost movements and ensure control of Prelims Administration Overheads: manage to budget and challenge functional heads on cost control and timing of spend through monthly monitoring Selling Overheads : ensure Sales and Marketing function are managing to budget, challenge on costs and timing of spend, through monthly monitoring Active role in Risk Management of the Business including overall responsibility for Insurance for the Division Attend site visits, plot sign offs, etc. as required for the efficient operation of the Division Deal with ad-hoc enquiries from Group/Region/Division/etc. as required Interaction with Regional and Group Accountants as required Ensuring all banking covenants information provision is supplied to Group Treasury & Group Finance. Key Requirements- Professionally qualified Accountant Strong interpersonal skills, with an ability to work and communicate with colleagues from outside of the finance team and at different levels of experience Ability to identify better or more efficient ways to do the job, and to challenge the way things have been done in the past Ability to work in a tight deadline driven environment and to manage multiple priorities (either as part of or with a plc or large group company) Integrity and a desire to do the right thing Experience of Construction industry / Property development and Joint venture accounting would be advantageous.
The Client- My client is a leading professional services firm; they are recognised for their commitment to delivering an outstanding quality of client service, and enabling people to excel in everything they do. The role- The Corporate Finance Advisory (M&A) team provides corporates, private equity houses and other clients with a full suite of M&A services advising on acquisitions, divestments, joint ventures, buy-outs and licensing, a significant number of which are cross-border or international in nature. The team's expertise extends across the full range of sub-sectors including Chemicals, Industrial Products, PPP, Energy, Automotive and A&D. The team has enjoyed significant success and is seeking to expand with the recruitment of highly driven and motivated individuals at Assistant Director/experienced manager level. Responsibilities The role will have responsibility for: Working across the Industrials sub sectors on a range of buy-side and sell-side transactions Assisting with day to day management of transactions which includes preparation of information memoranda, management presentations, valuation analysis and taking responsibility for preparation of information and client communications Industry research for both deal origination and transaction analysis Valuation work and Financial modelling Contribution to marketing and business development opportunities To have a broader perspective of potential issues encountered when managing diverse teams and the strategies to overcome them; have a clear understanding of the firm's commitment to creating a more inclusive culture Requirements To qualify for the role you must have: ACA/CFA (or equivalent) qualification (not essential depending on other experience) Ideally some transactional experience gained on client engagements or on secondment Excellent numeracy skills with keen attention to detail and the ability to absorb and analyse large amounts of data quickly Client focus, with ability to work quickly and establish effective working relationships Enthusiasm for and ideally previous exposure to the Industrials sectors Excellent oral and written communication skills Logical and methodical approach to problem solving Project management and organisational skills Ability to undertake detailed financial/commercial analysis for inclusion in client reports The self-confidence/appetite to be involved in business development activities Ability to develop, coach and motivate junior members of the team
The Legal Compliance Director will be responsible for strengthening, extending and sustaining a successful compliance program for the Real Time Payments business, ensuring the company meets its obligations under Part 5 of the Banking Act 2009. The role will provide guidance and direction to first line business units in order to identify and implement best practices through regular communications, training and monitoring activities. As part of the Compliance Department, the successful candidate will work cross-functionally with Legal, Regulatory Affairs, Risk, Human Resources, Finance, Public Policy, Privacy and Internal Audit. The post holder is accountable to the Vice President, Legal Team. Role responsibilities Develop, implement and extend compliance risk assessments, policies and procedures ensuring they are aligned with relevant legislation and industry guidance, including Bank of England ("BoE") expectations under Part 5 of the Banking Act Develop, implement and maintain a monitoring plan across relevant areas of the business to ensure oversight of and adherence to compliance policies, including BoE requirements Production of reporting summarising findings of compliance monitoring and provision of feedback and recommendations to relevant business areas Work with relevant business areas on implementation of recommendations and track resolution of any issues to completion Escalate issues including non-compliance or non-completion of actions as appropriate Production of management information for internal stakeholders, including senior management and Risk Committee Collation of information for annual Part 5 self-assessment report Manage external validations of Part 5 control framework and track completion of any findings arising Maintain accurate and complete records of relevant information, including reporting to the BoE and records relating to changes in relevant processes Assess the impact of changes to relevant regulations, industry guidance or BoE requirements on existing policies and procedures; communicate required changes to relevant business areas and ensure any necessary changes are implemented as required The role holder will be expected to stay up to date on applicable compliance regulations and best practice (including where relevant by undertaking relevant industry training) Essential skills Proven compliance experience in the financial services sector, including experience managing operational compliance programs In depth understanding of the role of regulation and supervision in the payments sector and the ability to translate regulatory and compliance requirements into controls and product designs Proven experience in a compliance / assurance role in particular demonstrable experience of implementing compliance processes and controls Proven experience of working in the payments industry with the ability to translate regulatory and compliance requirements into controls and product designs Educated to degree level
A leading consulting firm looking to expand their Corporate Finance team in London with a specific focus on Government & Infrastructure clients. The team delivers a wide range of corporate finance advisory services to public and private sector organisations. The group works across a range of sectors, including energy, defence, transport and public services. The services include: Procurement advice to government for public private partnerships (PPPs), project finance, outsourcing and other service contracts between the public and private sectors; Advice to private sector organisations bidding for government contracts, including financial modelling, finance raising advice and negotiation support; and Renegotiation, refinancing and restructuring of existing contracts. Key Requirements - Experience in a finance focussed role within government, a private sector bidder or another advisory firm working on one or more of: PPP, project finance, outsourcing, franchising or similar service contracts; A strong understanding of the financial and commercial aspects of government infrastructure and/or service contracts; Experience of working with financial models; An understanding of public sector procurement procedures; Strong written English skills; and A strong academic record, including a minimum of 2.1 degree or equivalent. The following experience and qualifications would also be beneficial: Experience of designing and building complex financial models; A recognised accountancy or relevant financial qualification (full or part qualified); Experience of business case and/or report writing; and Experience of working with contractual documentation for government infrastructure and/or service contracts. Required personal attributes include: Dedication to delivering quality results; Ability to multi-task and appreciation of the commitments to working within an advisory practise; A logical and methodical approach to problem solving, with an ability to think laterally; Good project management skills and an understanding of governance requirements and risks; The confidence to work effectively with clients; and Excellent interpersonal skills and ability to work within a team. The primary location will be London. The individual may be required to spend time working in other locations in the UK for extended durations as required by clients and projects.