Senior Associate - Financial Regulation Team

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UK Financial Regulation (UKFR) forms part of PwC’s Risk Management practice and sits within the central Compliance team (second line of defence). Its main purpose is the provision of advice, guidance and oversight to support the Chief Compliance Officer (CCO) in ensuring that PwC discharges its legal and regulatory responsibilities in areas including, but not limited to, Financial Conduct Authority regulation, Market Abuse and Anti-Bribery and Corruption.

The team is based in London and there would be a requirement to be present in the office as appropriate, but remote working on an agreed basis is also possible and this role is open to candidates on a national basis.

We are seeking a compliance/risk practitioner who:

has practical experience of financial services regulation, such as FCA rules and/or Market

Abuse;

• has an aptitude for digesting and interpreting new regulations in order to provide clear written/verbal guidance to a range of stakeholders;

• is highly motivated and sufficiently confident to work independently, but with support from more experienced subject matter experts;

• is enthusiastic about developing themselves; and

• has a proven ability to work to deadlines.

There are three people focused on this area as part of a wider Compliance team of around 40 people. The firm is facing increased regulatory challenges and going through a period of transformation and this role will

• provide a stimulating and challenging opportunity to:

• Develop a deeper industry specialism;

• Gain experience of the PwC approach to a range of compliance disciplines including, but not limited to, FCA and Anti-Corruption regulation;

• Acquire knowledge of the ‘products’ and services offered by the firm;

• Develop relationship management skills, by dealing with senior partners & staff within the firm on regulatory compliance matters and sensitive client issues.

The successful candidate will report to a Manager in the UKFR and support senior team members’ activities, but will also be responsible for managing their own workload in consultation with the Manager.

Description

The role involves taking responsibility in areas including:

• responding to queries relating to the interpretation and application of Compliance

• rules/guidance and the firm’s related policies in relation to FCA/Financial regulatory expertise and Anti-Bribery and Corruption and Insider Dealing expertise.;

• liaising with the wider areas of Compliance and Risk to ensure that other relevant regulatory and risk considerations are taken into account;

• the development of internal policies and procedures;

• the provision of subject matter advice to the client-facing practice; awareness and training;

• periodic monitoring;

• formulation of the firm’s response to regulatory initiatives and investigations.

• Ideally, the candidate will be educated to graduate level and have recent experience of

• working in a regulated environment;

They will typically have experience within the risk management/ compliance functions of a professional/financial services firm or relevant experience from a regulatory body;

Key required skills are an ability to:

• acquire and apply technical expertise;

• communicate with impact and empathy to individuals at all levels of seniority:

• observe key principles of confidentiality and sensitivity;

• be adaptive, open minded and agile;

• be passionate about client service;

• be curious to learn and share;

• demonstrate courage, integrity and the confidence to make independent decisions

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