AJB Executive Search Ltd

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POSITION- ASSOCIATE DIRECTOR CONSULTANT-CAPITAL MARKETS CONSULTING

LOCATION- City of London

SALARY- Circa £100-110,000 Plus Benefits & Bonus

REFERENCE-AJB/ JB FS CON 79

JOB SPECIFICATION

Our client is a highly regarded Regulatory Financial Services Consulting Firm
They are seeking to recruit an experienced Capital Markets Specialist at Associate Director level
The successful candidate will play an important senior leading role in the Capital Markets Business Unit ensuring self and the team provide best-in-class consultancy services to our clients. You will ensure their clients are beyond satisfied with the quality of services they have received from our client, honouring their contractual obligations.
You will be expected to attract new business, develop and own your client book and maintain a professional network from which to leverage guidance and advise on potential commercial opportunities. You will support the growth and development of the Business Unit, ensuring the strategic objectives and vision of the team are met by working closely with management and clients as well as identifying revenue and service-line growth opportunities.
Personally, you will be an outstanding, positive team member who pursues excellence in all aspects of client services and delivery. You will lead by example, with professionalism and integrity and be comfortable to work across all levels of client work, guiding and supporting team members in their development.

Key responsibilities
Client
• Manage and develop designated client relationships, deliver on work as detailed in the contractual scope of engagement, ensuring the team are delivering a high-level of client satisfaction.
• Provide support and guidance to clients in relation to FCA regulatory obligations.
• Undertake or oversee periodic compliance monitoring reviews and, as a result, provide clients with formal reports.
• Support clients with the completion of FCA periodic returns
• Ensure that established Quality Assessment procedures are followed.
• Oversee and carry out work relative to firms that wish to apply for FCA authorisation, for Variations of Permission, to effect a Change in Control or a Change of Legal Status
• Be a go to ‘Subject Matter Leader (SML)’ on topics relative to providing technical advice to clients, the team, identifying commercial opportunities relative to regulatory changes, thought leadership and changes to our consulting methodology.
• Inform clients of relevant changes in regulation and carry out, or direct, the updating of any relevant manuals, policies, procedures and forms to enable the firm to comply with any new requirements and provide training.
• Ensure your client chargeability, or any other time-based targets are met, or exceeded.
• Review client marketing materials to ensure such meet regulatory requirements.
• Agree and negotiate terms of new client instructions.
• Responsibility for client profitability, client fees and resource allocation for any clients which sit within your team.
Technical
• Personally deliver, or organise and oversee the creation of compliance documentation relevant to each clients' business
• Research specific technical issues and provide the results of that research to your colleagues and clients
• Provide thought leadership and assist with writing relevant articles for publication

CANDIDATE PROFILE

• At least 8/10 years relevant commercial experience involving financial services and technical compliance experience specific to Capital Markets
• Appropriate professional qualifications are highly desirable
• Client facing experience in professional services or consulting roles
• Experience of leading high-performance teams
• Seasoned business developer and experience of growing a client base

POSITION- SENIOR CONSULTANT-CAPITAL MARKETS CONSULTING

LOCATION- City of London

SALARY- Circa £85-90, 000 Plus Benefits & Bonus

REFERENCE-AJB/ JB FS CON 78

JOB SPECIFICATION

Our client is a highly regarded Regulatory Financial Services Consulting Firm
They are seeking to recruit an experienced Capital Markets Specialist at Senior Consultant level
The successful candidate will play an important senior leading role in the Capital Markets Business Unit ensuring self and the team provide best-in-class consultancy services to our clients. You will ensure their clients are beyond satisfied with the quality of services they have received from our client, honouring their contractual obligations.

You will attract new business, develop and own your client book and maintain a professional network from which to leverage guidance and advise on potential commercial opportunities. You will support the growth and development of the Business Unit, ensuring the strategic objectives and vision of the team are met by working closely with management and clients as well as identifying revenue and service-line growth opportunities.
Personally, you will be an outstanding, positive team member who pursues excellence in all aspects of client services and delivery. You will lead by example, with professionalism and integrity and be comfortable to work across all levels of client work, guiding and supporting team members in their development. In addition, we’re looking for someone with a strong desire to grow with us as a company.
Key responsibilities
Client
• Manage and develop designated client relationships, deliver on work as detailed in the contractual scope of engagement, ensuring the team are delivering a high-level of client satisfaction
• Provide support and guidance to clients in relation to FCA regulatory obligations
• Undertake or oversee periodic compliance monitoring reviews and, as a result, provide clients with formal reports
• Support clients with the completion of FCA periodic returns
• Ensure that established Quality Assessment procedures are followed
• Oversee and carry out work relative to firms that wish to apply for FCA authorisation, for Variations of Permission, to effect a Change in Control or a Change of Legal Status
• Be a go to ‘Subject Matter Leader (SML)’ on topics relative to providing technical advice to clients, the team, identifying commercial opportunities relative to regulatory changes, thought leadership and changes to our consulting methodology
• Inform clients of relevant changes in regulation and carry out, or direct, the updating of any relevant manuals, policies, procedures and forms to enable the firm to comply with any new requirements and provide training
• Ensure your client chargeability, or any other time-based targets are met, or exceeded
• Review client marketing materials to ensure such meet regulatory requirements
• Agree and negotiate terms of new client instructions
• Responsibility for client profitability, client fees and resource allocation for any clients which sit within your team
Technical
• Personally deliver, or organise and oversee the creation of compliance documentation relevant to each clients' business
• Research specific technical issues and provide the results of that research to your colleagues and clients
• Provide thought leadership and assist with writing relevant articles for publication

CANDIDATE PROFILE

• At least 5/7 years relevant commercial experience involving financial services and technical compliance experience specific to Capital Markets
• Appropriate professional qualifications are highly desirable
• Client facing experience in professional services or consulting roles
• Experience of leading high-performance teams
• Seasoned business developer and experience of growing a client base

POSITION- ASSISTANT MANAGER/MANAGER - Prudential and Authorisations

LOCATION- City of London

SALARY- Circa £55 - 70,000 Plus Benefits & Bonus

REFERENCE-AJB/ JB FS CON 77

JOB SPECIFICATION

Our client is an International Regulatory Consulting firm. They are seeking an Assistant Manager or Manager to join the Prudential and Authorisations Team

You will join a team of experts in the Prudential and Authorisations team part of their Financial Services Group. The team covers matters relating to Prudential Regulation; Regulatory Reporting; Framework Assurance (risk management and governance) as well as Authorisations and other licence related activities. This specialist team provides advisory support to both banks and investments firms. In addition, the team supports our Internal Audit Practice and our Shared Services Team in a Subject Matter Expert capacity.
The team has been extremely successful in growing our client portfolio over the last few years. To support their longer-term growth ambitions, the team is looking to add a strong Assistant Manager/Manager to increase our delivery capacity across the range of services offered. For the right candidate, the role offers significant potential for longer-term career progression in this rapidly developing advisor area of our client’s service offering.

CANDIDATE PROFILE

The success candidate will;
• You will be well educated, preferably with a degree or professional qualification.

• Have at least 4 years Compliance/regulatory experience (FCA/PRA)
• Experience may have been gained within a bank or other types of regulated firms; as a regulator; or as a consultant.
• A good level of understanding of how authorised financial services firms operate and the challenges they face.
• A working knowledge of relevant areas of the PRA’s Rulebook / FCA’s Handbook.
• Ability to plan, undertake and deliver smaller projects including owning timely completion of pre-delivery activities such as client onboarding and engagement risk.
• Strong communication and report writing skills.
• Track-record of efficient stakeholder management
• Attention to detail, a focus on quality of output with strong analytical and financial analysis skills.
• Able to use own initiative, work unsupervised.
• Technical knowledge of UK and EU prudential regulation, e.g. capital and/or liquidity, is preferred but not essential.

POSITION- SENIOR MANAGER/ASSOCIATE DIRECTOR-PRUDENTIAL REGULATORY CONSULTING

LOCATION- City of London

SALARY- Circa £95,000 - 120,000 Plus Benefits & Bonus

REFERENCE-AJB/ JB FS CON 76

JOB SPECIFICATION

Our client is an International Regulatory Consulting firm. They are seeking a Senior Manager or Associate Director to join the Prudential Team

As one of the key disciplines within Financial Services Advisory, the Prudential team consists of three pillars: Banks, Investment Firms and Shared Services (other internal and external markets).
The team structure includes a clear identification of the different types of prudential service offerings and all regulatory thematic areas of expertise, which allows all team members to specialise as Subject Matter Experts (SMEs) or become champions in specific services.
You’ll be responsible for managing and driving forward large and complex client projects including proposal building, project risk management (e.g. client onboarding and assignment risk assessment), project planning, budgeting, lead on client engagement and liaison, people management on live projects and your wider portfolio, project delivery and associated quality assurance, and of course financial management (e.g. billing).

CANDIDATE PROFILE

• At least 7/10 years of financial services regulatory experience including Prudential Regulatory Reporting, from a Regulator or Consulting background
• Strong technical knowledge of UK prudential regulation; ideally both capital, liquidity and recovery planning.

• An excellent understanding of the EU and UK financial services legislation, including the UK CRR, CRD, and familiarity with the Prudential Regulation Authority’s (“PRA”) Rulebook and the Financial Conduct Authority’s Handbook.
• Previous experience of providing professional services to clients and of UK Financial Services regulation, risk management or compliance.
• Significant experience of delivering assurance assignments within a Financial Services context. This will include some experience of internal audit and/or review and recommend work.
• Ability to plan, undertake and deliver projects including reviews and monitoring / assurance work.
• Strong relationship and relationship building skills.
• Excellent report writing, communication and presentational skills.
• Proven project management and client handling skills.

POSITION- SENIOR COMPLIANCE & RISK OFFICER –WEALTH MANAGEMENT

LOCATION-London

SALARY- Circa £75 - 90,000 Plus Benefits

REFERENCE-AJB/ JB AM 189

JOB SPECIFICATION

Our client is a rapidly growing business that is re-defining how individuals and families connect and engage with their financial life. They their clients with control over their personal finances, enhancing their ability to achieve their personal and financial aspirations.
Our approach combines the best of human judgement and advice with sophisticated, data driven portfolio analytics and cutting-edge digital user-experience for both clients and advisers.
They are seeking an exceptional senior risk and compliance officer to join the risk and compliance function and build out the risk and compliance framework to match the world class financial advice and technology functions already in the business..

As a fast-growing company, there is considerable scope for the successful candidate to grow with the business, assume greater levels of responsibility and progress rapidly.

The Risk & Compliance function is pivotal in creating a world class, scalable organisation, that requires the development and implement of a modern risk and compliance framework.

The role holder will support in development of the following:

• Digital on-boarding journey and modern, nimble customer due diligence processes
• Policy, standards, and procedures suite with accompanying communications to articulate the company’s approach to internal and external audiences
• Development of a robust learning and accreditation programme which ensures that all staff have the knowledge base to deliver the services to clients
• Development of a comprehensive risk and compliance assessment which forms the base of risk-based decision making within the organisation
• A targeted compliance monitoring programme which evaluates and reports to senior management key findings gives assurance for to compliance
• Advice to the business on key situational and transactional matters
• Horizon scanning of the external environment to identify and analyse the relevant regulatory changes which may affect the business





CANDIDATE PROFILE

• A Minimum of 4 years’ experience in retail financial services compliance
• Comprehensive understanding of compliant Customer Due
• Solid AML and Financial Crime experience
• Diligence practices for the UK
• Experience in a role working directly with HNW/UHNW clients, would be useful
• Ability to assist in identifying efficiencies in processes that can be successfully automated using technology to drive scalability
• First-hand experience with designing and implementing compliance monitoring reviews
• Extensive experience in drafting policies, procedures, and training
• Good working knowledge of products and services used in retail financial services
• Experience with Risk and Compliance Monitoring systems
• Comfortable working with numbers (basic excel, basic financial maths)
• An energetic self-starter with the ability to work autonomously.

UPDATE ON -COMPLIANCE CONSULTANT
Remote Working-Flexible Hours 4 or 5 Days a week
INCREASED - Salary Circa £55-60,000
REF AJ JB CONS 73

Our client is a Regulatory Consultancy seeking an experienced and mature compliance generalist who can work remotely. Flexible hours are available as long duties are completed in a timely fashion.
Responsibilities will include working for many of the Consultancy’s clients across the Financial Services landscape and located across the UK

Knowledge required;
A minimum of about 8/10 years regulatory experience including knowledge of;
Retail Asset Management, both retail and professional investors
Technical expertise in areas like product governance, price/value assessments or customer communications & external communications from Professional Clients to Retail Clients, Certified HNWs across numerous product lines such as investing into private companies or alternative funds or UCITs packaged portfolios.
Must be familiar with the FCA Handbook, in particular COBs and SYSC and rules of Financial Promotions
AML/CDD client account reviews
Desk based monitoring and Thematic reviews.
Personal Account Dealing
Quality Assurance and Client reviews
Complaints Register
Travel to the offices in London on a quarterly basis to hold team meetings and client reviews. experience

Jonathan
[email protected]
07958 226 847

www.linkedin.com

Good day lovely people

We are still seeking to fill both vacancies below, please do let me know if you have an interest. All discussions remain as always, in the strictest confidence

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COMPLIANCE CONSULTANT
Remote Working-Flexible Hours 4 or 5 Days a week
Salary Circa £45-50,000
REF AJ JB CONS 73

Our client is a Regulatory Consultancy seeking an experienced and mature compliance generalist who can work remotely. Flexible hours are available as long duties are completed in a timely fashion.
Responsibilities will include working for many of the Consultancy’s clients across the Financial Services landscape

CANDIDATE PROFILE

Knowledge required;
A minimum of about 8/10 years regulatory experience including knowledge of;
Financial Promotions
AML/CDD client account reviews
Desk based monitoring and Thematic reviews.
Personal Account Dealing
Quality Assurance and Client reviews
Complaints Register
Travel to the offices in London on a quarterly basis to hold team meetings and client reviews.


FINANCIAL MODEL ASSURANCE -DIRECTOR
City of London & Other UK Locations
Circa £100-120,000 Plus Benefits & Bonus
REF-AJB/ JB FS CONS 72

Our client is highly regarded International Financial Services Consultancy
They provide a wide variety of services that deliver value-led advice to their respective clients. They have an in-depth knowledge of business, industry sectors and markets and understand the constantly changing risks and opportunities at the heart of affairs. Our client works across strategy, operations and improvement as well as at a transactional and defined project level. From technology to risk advisory. You will be working on some of the world's most exciting financial operations and business deals, building your experience and expertise alongside the brightest minds in the industry
You will be someone who is both comfortable working proactively and managing your own tasks, as well as confident collaborating with others and communicating regularly with senior managers, directors, and partners to help businesses effectively. You’ll be encouraged to identify and draw attention to opportunities for enhancing our delivery and providing additional services to organisations we work with.
The practice has a track record of working on a wide variety of projects. This includes renewable energy projects such as onshore and offshore wind, solar PV, biomass, alongside complementary technologies such as battery storage and green hydrogen. They review complex and high value business models looking to gain further funding.

At Director level, you will be working closely with senior members of the Practice where you’ll initially learn new methodologies and quality control procedures and be trained in the use of various model analysis tools. You'll also manage the performance of the teams and the engagements, ensuring review of the detailed underlying model formulae. You'll be the main point of contact for each engagement and you'll also be expected to develop opportunities.

CANDIDATE PROFILE

The successful candidate with be a person that has the following;
ACA/ACCA qualified, or equivalent.
Several years Consultancy experience working across various industry sectors
Experience of managing Financial Model Audits over the whole engagement lifecycle
Good project management skills and a desire to take ownership of their work
Business development and account management experience
Excellent commercial skills and judgement
An eye for detail and strong logical and technical skills, including advanced Excel

Jonathan Banjo
[email protected]
07958 226 847

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