Financial Services Managing Consultant – Regulatory Risk

At RSM, as a Managing Consultant within the Regulatory Practice of Financial Services, you will lead a team, support clients and business development, and help grow team members.

Responsibilities

• Managing a Financial Services team in conjunction with Associate Directors to ensure timely and accurate delivery of high quality and timely Advisory service at clients’ sites when required and in accordance with the firm’s Standards.
• Leading and managing agreed client portfolio for the service line and regional area.
• Supporting the Associate Director with preparations of strategy documentation for each client, supported by a fully costed service delivery proposal, for subsequent approval by the Director/Partner.
• Assisting in the building of the discipline and ensuring the team delivers exceptional client advisory services.
• Control and manage the delivery of the client programme, to ensure that the work is completed to time and budget, providing solutions on any issues as appropriate to the Associate Director.
• Ensure the effective planning and utilisation of team members in line with the approved budget -including mapping complex scheduling to optimise profitability.
• Monitor the effectiveness and quality of work through undertaking effective manager review of the work.
• Engage with the client billing in accordance with the firm’s billing timescales, providing solutions to all potential adverse issues that may impact on the achievement of the agreed client billing and recovery targets.
• Deal with day-to-day team matters, including feedback on performance on the job, assist in appraisals, the recruitment process, team welfare and H&S.
• Build relationships with new clients and identify/act upon all potential additional work opportunities at new clients or new work at potential clients.

Qualifications

• Extensive, hands on FCA regulatory compliance experience, ideally gained within the UK financial services sector. You should have a deep understanding of the FCA Handbook – including areas such as SYSC, PRIN (including Consumer Duty), COBS, MCOB, ICOBS, CONC, DISP, and financial crime requirements – and the ability to interpret, apply, and communicate these in a practical, commercial manner.
• Consultancy or advisory experience, preferably gained within a leading professional services firm. This includes delivering regulatory projects, producing high quality outputs, managing competing client demands, and working to defined scopes and deadlines. You should be comfortable adapting to different client environments and building strong stakeholder relationships.
• Proven experience in activities such as regulatory interpretation, compliance monitoring, thematic reviews, horizon scanning, regulatory mapping, gap analysis, and the drafting or enhancement of policies, procedures, and control frameworks aligned to FCA expectations.
• The ability to assess regulatory developments and translate them into actionable, business focused guidance. Experience supporting or leading engagements involving regulatory interaction – such as supervisory requests, remediation initiatives, Skilled Person Reviews, or regulatory readiness assessments – is highly desirable.
• Strong awareness of current and emerging FCA priorities, industry thematic issues, and enforcement trends, with the capability to advise clients and internal stakeholders on potential impacts and proportionate compliance solutions.
• A dynamic, ambitious, and proactive approach, supported by strong organisational skills and the ability to manage multiple projects simultaneously while meeting deadlines and maintaining high quality standards.
• Sound knowledge of the UK financial services sector and the regulatory landscape, including familiarity with key bodies such as the FCA and PRA.
• The post holder will be expected to travel to the client’s sites in their own time, limited where possible to one and a half hours each way.
• Excellent communication skills, both orally and written, are critical to this role.

What we can offer you

• Hybrid and Flexible working
• 27 Days Holiday (with the option of purchasing additional days)
• Lifestyle, Health, and Wellbeing including financial wellbeing benefits such as financial tools, electric car scheme and access to a virtual GP
• Access to a suite of 300+ courses on demand developed by our inhouse Talent Development team

Diversity and Inclusion at RSM

At RSM, we want to create a strong sense of belonging so that people of all identities, backgrounds, and cultures feel they can bring their true self to work. Our clients come from all walks of life. We aim to achieve that same diversity of background, experience and perspective in our own teams, so that we can genuinely understand our client’s needs. Diverse teams bring a broader range of ideas and insights to work. That’s why we’re working together to ensure our firm’s principles and processes support a firm culture that embraces difference and strengthens inclusion.

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