Director, Compliance and Conduct Financial Services

London, England, United Kingdom 1001+ employees
Posted - Not accepting applications

Who we are looking for

The world of Risk and Regulation is changing, join us on the journey and be part of creating a new and relevant financial services industry. We are looking for a Director with a proven track record of delivering complex engagements with either experience of developing new business in a professional services firm or the credibility and drive to do so.

To be successful in this role you will need to have strong regulatory awareness and have a clear understanding of regulatory compliance and retail conduct issues and potential future direction of regulatory focus. Typical role responsibilities include:
  • Developing relationships with prominent and emerging Challenger Banks and FinTech/RegTech sector firms;
  • How do we align compliance monitoring and other control assurance activities?
  • Delivery and oversight of critical engagements for clients, often under significant time pressures, managing multi-disciplinary teams from both PwC and the client;
  • Developing a pipeline of work by building and taking propositions to market and fostering close client relationships;
  • Developing a team of regulatory and risk professionals and building a community of individuals;
About the team

You €™ll join the Consulting team within our award-winning FSRR practice, of c.70 partners and c.1200 people, as our clients continue to face significant shifts in the regulatory environment. We help our clients to manage and design everything from governance and controls to systems and data processes. Whether designing a strategic approach to Risk and Regulation, or helping to respond when something has gone wrong, we have the skills and expertise to find the right solution.

Our Financial Services Risk and Regulation (FSRR) team are looking to expand our leading Retail and Corporate Banking business and for candidates with a background in Compliance/Regulation who can operate at a Director level who have gained experience within the Retail, Wealth, Insurance, or Capital Market sectors. The role is flexible in location (ideally London, Manchester or Edinburgh); however as a result of the wide variety of clients and projects, you may be required to work in all parts of the UK and internationally, sometimes at short notice and sometimes over lengthy periods of time.


Essential skills:

  • Educated to degree level and/or equivalent professional qualifications (e.g. CISI, ACA, CIMA, CCA or equivalent);
  • Prior knowledge and experience of the retail/corporate banking and/or wealth management sectors, including a strong understanding of compliance and conduct management processes and procedures. This experience would ideally be within a management consultancy or a large financial services institution;
  • Ability to bring or build strong long lasting client relationships at senior levels;
  • Strong track record in programme delivery, successfully managing significant change/transformation programmes;
  • Experience of problem solving and being able to implement and deliver solutions tailored to a client’s needs;
  • An ability to understand, interpret and communicate complex regulation, including practical implementation of regulatory change.