Opportunities now for independent regulatory & risk specialists

Latest News - 5th October 2009

We are receiving an increasing number of requests from clients to source specialists for them, working within their compliance and risk departments or working in their businesses on regulatory initiatives and projects.

We are also working with one of the UK’s leading Interim Management organisations to source candidates for them when they receive similar requests.

These roles are interesting, challenging, stretching and well-rewarded. Often clients are looking for specialists who can work on remedial assignments repairing operations or processes which are ineffective or working directly to meet critical regulatory requirements. Often they do not have the necessary levels of experience internally or require specialists to work alongside their internal staff to share learning and upskill them.

 We would therefore like to hear from any experienced independent consultants who are interested in these roles and who meet the following criteria:

 Mandatory:

• At least 10 years experience working in regulated financial services (banks, insurers, other institutions, regulators or consultancies)
• At least 5 years experience of regulatory or risk management work including hands-on implementation of regulatory requirements.
• Strong knowledge of regulatory requirements in at least one of the following areas:

­    Investment Conduct of Business and Treating Customers Fairly

­    ICOB and MCOB regulation

­    Prudential regulation including Basle II, CRD, etc.

­    SYSC

­    Operational risk management

• Experienced independent consultants with strong interpersonal skills and the experience of working with senior managers on regulatory issues

Desired:

• Five years or more experience of working as a consultant in regulatory or risk management fields
• Experience of working in or dealing with UK regulators and if possible European/US regulators
• Experience of working on ‘Big 4’ regulatory assignments or with other major consultancies
• Experience of working within risk/regulatory functions as a senior specialist
• Experience of the following areas of particular interest to some clients:

­    Suitability of financial advice for private customers

­    Complaints handling and quality assurance of services for customers

­    Payment Protection Insurance

­    Pensions Transfers and other retirement planning regulation

­    Prudential regulation for insurers and banks

­    Reviewing/auditing operations and processes to meet regulatory standards

If you (or anyone you know) would like to be considered for opportunities as they arise please contact us and forward an up-to-date CV with particular emphasis on your experience in the above areas:

Please forward details directly to:

Gary Storer, Managing Director

gary.storer@enterprise-learning.co.uk