FNZ, Colney, London, United Kingdom
Regulatory Advisory - Senior Manager
Role Description
This role profile covers FNZ’s wealth and bank propositions. The position requires experience in providing compliance consultancy in relation to FCA/PRA requirements for banks and wealth clients. Your role will involve engaging with clients’ 2LOD teams to ensure oversight of their business propositions with FNZ, and maintaining awareness of material compliance issues affecting those clients and the first‑line activities that address them.
Responsibilities
Compliance Culture
* Assist senior management in promoting the compliance culture of FNZ, particularly the understanding of regulatory obligations.
* Provide training to the business as required.
* Attend governance meetings as required.
Compliance Consultancy
* Provide in‑depth advice to the Company on FCA, HMRC and other applicable regulations and legislation related to the Company’s regulated and administrative activities.
* Give regulatory advice in connection with business propositions.
* Support projects as required.
* Review risk events, confirm rule references and advise on actions to rectify any breaches of FCA rules and, where necessary, HMRC and other regulations.
Regulatory Compliance Policy
* Assist the business in meeting the minimum standards of the Regulatory Compliance Policy.
* Review and update the Regulatory Compliance Policy and supporting policies to ensure continued regulatory compliance.
Client Relationship Management with 2LOD Counterparties
* Build relationships with the Company’s clients’ 2LOD functions.
* Provide 2LOD compliance oversight of the business in connection with specified clients, ensuring familiarity with key client risks and issues.
* Undertake risk trend analysis as required for specified clients.
* Maintain awareness of functionality change delivery and approve releases on behalf of 2LOD for specified clients.
Compliance Monitoring Plan (CMP)
* Assist in carrying out the Compliance Monitoring Plan, including reviews, sampling and side‑by‑side assessments.
* Conduct analysis of risk event trends and deep‑dive investigations where trend analysis indicates potential problems.
Regulatory Developments
* Assist the Compliance team’s Regulatory Developments section by contributing to regulatory change impact assessments and supporting clients regarding those changes.
External Liaison
* Prepare reports and liaise with clients on compliance matters.
* Coordinate with auditors and consultants on compliance matters where required.
Governance Meetings
* Assist in preparing committee papers.
* Attend governance meetings as required.
Team Working
* Share ideas to enhance cross‑team learning and business development.
* Build and maintain relationships with internal and external parties.
* Support the team’s efforts to succeed.
Maintaining Operational And Company Standards
* Support the Company’s goals and values.
* Encourage and drive quality and continuous improvement across business processes.
* Ensure practices comply with regulatory bodies’ expectations.
Personal Effectiveness
* Build relationships with clients and within the Company.
* Prioritise and manage service delivery targets within tight constraints.
* Take ownership of workload and be proactive in approach.
* Demonstrate strong communication skills and appropriate language/style of communication to influence.
* Show self‑awareness of strengths and development areas.
* Analyse and problem‑solve effectively.
* Maintain a calm, reasonable, professional manner.
* Work well under pressure.
* Adapt easily to change, eager to improve and develop new skills.
Experience Required
* Significant prior experience in a regulatory role that supports clients’ propositions.
* Detailed knowledge of the FCA Handbook, especially SYSC, CASS, COBS and COLL rules, and HMRC requirements.
* Good knowledge of appropriate European Directives.
* Experience of both front and back‑office investment operations functions, preferably through a compliance function.
* Professional or industry qualification.
* Excellent communication, relationship‑management and influencing skills.
* Ability to build and maintain effective internal and external relationships.
* Analytical, presenting and reporting regulatory information to senior stakeholders clearly and concisely.
About FNZ
FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back. We created wealth’s growth platform to help. We provide a global, end‑to‑end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution. We partner with the world’s leading financial institutions, with over US$2.2 trillion in assets on platform (AoP). Together with our clients, we empower nearly 30 million people across all wealth segments to invest in their future.
Seniority Level
Mid‑Senior level
Employment Type
Full‑time
Job Function
Finance and Sales
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