Advisory Graduate - Regulatory Consulting
|Job Title:||Advisory Graduate - Regulatory Consulting|
|Contact Name:||BDO Early In Career|
|Job Published:||May 07, 2019 09:48|
Reporting to an Assistant Manager, Manager, or Senior Manager, the role holder will assist the Director and Partner with meeting the annual business and growth plans as set out and agreed.
The role holder will be specifically tasked with supporting the Regulatory Consultancy team with the provision of regulatory services to a range of clients, providing support on project delivery, assisting with ad hoc queries and questions as they arise from both internal staff and clients.
The role will be one of a generalist, offering the role holder the opportunity to grow their knowledge in a number of areas. The role holder will be expected to undertake professional studies, working to complete the CISI Diploma in Investment Compliance (Level 6 Diploma).
The role holder is expected to work with supervision, in addition to being capable of executing tasks semi-autonomously and working as part of a project team to meet required reporting deadlines, project milestones, and providing timely updates and communication to clients, stakeholders and the assignment leader(s).
The role holder will be expected to undertake any other reasonable tasks as required by the Managers, Director and Partner.
Business Area Overview
• Keep up to date with changes to FCA rules and guidance in terms of key changes and ensure this is communicated effectively to all relevant parties, by way of briefings, emails and fact sheets;
• Provide support to the Consultants in the team through participation in the following work:
• Reviewing financial promotions prepared by clients;
• Draft Financial Promotions on behalf of clients;
• Ensure compliance manuals are kept up to date, monitor programmes for necessary changes and report on any findings;
• Assist senior staff with performing monitoring and reporting at clients’ premises;
• Produce written reports on remedial actions resulting from the monitoring programme and contribute to follow-up meetings with operational line managers;
• Assist with the preparation of FCA application packs, variation of permission notices and update of firms’ ICAAPs;
• Assist with work required under FCA Risk Mitigation Programmes, Firm Systematic Framework visits and s166 reviews;
• Assist in the preparation of internal and external courses to keep up to date with regulatory issues;
• Promote and develop the department when possible;
• Assist other members of the team with ad hoc questions on the FCA Handbook when required;
• Take responsibility for communicating and disseminating regulatory intelligence on a daily basis;
• Assist in the continual development of the Regulatory Consulting team through active contribution to the advancement of the proposition and the development of internal processes, systems and templates used in the delivery of client services by being one of the primary resources for the department’s Retained Services desk; and
• Successfully study towards the CISI Diploma in Investment Compliance.
• Three A-Levels, grade A* - C, and a grade 2:2 or above in any undergraduate degree, or equivalent.
• Willing to travel to clients (within London, nationally and potentially internationally);
• Client focused; willing to go above and beyond to deliver timely, high standard client service;
• Demonstrates ethical behaviours at all times;
• Able to deal flexibly with work priorities and displays energy and enthusiasm; and
• Sees the benefit of working outside of set hours to further their own career and help deliver on team objectives.
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