Regulatory & Compliance - Manager
Forvis Mazars · London
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.
About the team
Our FS Consulting practice has a dedicated Regulatory Compliance team focusing on conduct regulation and everything in the realm of the Financial Conduct Authority (FCA) and regulatory reporting overseen by the Prudential Regulation Authority (PRA).
Our services are very much aligned to the FCA and PRA‘s purpose and we help clients meet regulatory expectations. The work is diverse, interesting and purposeful. We have recently been helping clients with the Consumer Duty, operational resilience, complaints, regulatory reporting, fair value assessments, vulnerable customers, product governance and quality assurance.
About the role
The role of a Manager is to take responsibility for delivering client projects. This means assisting in all aspects of the project lifecycle; from sales or ‘business development', to project planning, overseeing and undertaking fieldwork (either on client site, remotely, or hybrid, as necessary) and preparation of deliverables, including presenting findings and recommendations back to the client. You will act as the main point of contact with the client, managing assignments with senior input as necessary. You will also assist in training, support and development of junior team members.
Typical client work includes:
· regulatory change / project support / implementation
· compliance advice on a particular area of concern
· regulatory gap analyses, independent review or ‘health checks’ (including thematic or risk-based compliance reviews)
· regulatory applications / responses / communication
· regulatory reporting
· designing and delivering training
· compliance secondments
· practical application of regulatory frameworks, for example, by conducting fair value assessments and customer journey mapping
· internal audit subject matter expertise.
The role itself will involve:
· managing the types of assignments listed above
· dealing with client queries and communications
· drafting reports for various audiences and levels of our clients’ business
· working closely and collaboratively with members of the FS Consulting Team (and our clients) with technical input from senior team members
· overseeing junior team members
· ensuring that work is delivered within the agreed timeline and budget
· keeping track of regulatory and industry developments.
You may also be required to:
· assist and lead internal projects and business development initiatives
· develop our service offerings and assist marketing, for example, by writing articles or giving presentations
· prepare client proposals to win new work
· develop training, engagement tools and methodologies
· be seconded to assist client projects (this will be discussed on an individual needs basis).
We have a hybrid working model, which means you can split your time between the office, working from home and client sites, when required. Current expectations are three days a week in the office or client site. Please note this may be subject to change.
What we are looking for
- A minimum of 4+ years’ experience working within:
- a professional services firm with a regulatory / compliance focus
- the FCA, PRA or Financial Ombudsman Service
- a financial institution (e.g. in a Risk, Compliance or Conduct team in industry)
- Knowledge of regulatory issues impacting the FS industry, including practical experience of:
- remediation programmes, including Skilled Person Reviews, customer redress exercises, etc.
- implementation or assurance over Consumer Duty, Operational Resilience or other regulatory programmes
- first line activity, e.g. in product design, customer journey improvements or monitoring customer outcomes
- Created presentations and/or reports to communicate findings
- Communicated with external clients or key stakeholders
- Conducted legal or regulatory research, investigation and analysis
- Held (client) meetings and workshops
- Management of (client) projects or deliverables
- Use of Microsoft Co-pilot (or an alternative AI tool) and the ability to analyse large volumes of data
Personal skills
- Strong organisational skills, including being able to manage time effectively and work well with others in a team
- Good verbal and written communication skills, being able to clearly articulate regulatory requirements and explain evidence relied upon if challenged
- Good report writing, Microsoft Word, PowerPoint and Excel skills
- Attention to detail and ability to critically review your own work and the work of others
- Pragmatic, proportionate and measured in dealings with clients
- Ability to analyse and understand issues to develop practical solutions
- A real interest in innovation and technological developments that can assist our work and benefit our clients
Qualifications
- Relevant professional qualifications would be beneficial e.g. Chartered Insurance Institute or International Compliance Association Certificate/Diploma
- Bachelor’s degree within a relevant discipline
Diversity, Equity & Inclusion
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.
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