Director, Regulatory Risk Management | Forensic & Litigation Consulting The Regulatory Risk Management team at FTI Consulting supports financial institutions, regulators, governments and enforcement agencies across the full spectrum of financial regulation.
Our service offerings include regulatory and business change programmes; governance and conduct matters; risk and regulatory advice; risk management frameworks; disputes and investigations; and remediation programmes.
We work alongside our multi-disciplinary colleagues who are located in every major financial centre around the globe, enabling us to tackle any challenge our clients face.
Our experts are industry and technology experts, former policy makers, regulators and economists, and forensic and communications specialists.
Primary Duties and Experience
As a Director in the Regulatory Risk Management team, you will be a client-facing professional, involved in projects and business development activities from the outset.
The Director should have experience in and the ability to demonstrate a strong understanding and working knowledge of, and experience in, the following areas:
Ability to interpret and advise stakeholders (including non-UK based clients) on the UK regulatory perimeter in the financial services sector, in particular, the UK Financial Conduct Authority and FSMA.
Comprehensive understanding of the requirements under the FCA Handbook (in particular, COBS, SYSC and PROD), consumer duty, Senior Managers & Certification Regime, MiFID II / MiFIR (as adopted in the UK) and market abuse legislation.
Practical and pragmatic approach and understanding of the role of risk and compliance functions in financial institutions.
Significant practical experience with the design, development, implementation, embedding and maintenance of risk management and compliance frameworks.
This includes remediation programmes, compliance policies, procedures, governance structures, gap analysis, training materials, on-going monitoring plans, assurance work and management information requirements.
Experience with or strong understanding of FCA authorisation applications, FSMA section 165 requests and section 166 skilled person reviews.
Experience in interpreting and advising on regulatory developments, change and in response to new business / business change.
Ability to manage multiple stakeholders, including senior management / managing body.
Experience with large-scale and complex projects.
Ability to manage projects and deliver in a timely manner, across multiple tasks and projects whilst maintaining high quality standards.
Ability to work with high levels of autonomy and as part of a large team.
Strong broad awareness of compliance requirements globally; experience/exposure to EU and US regulation is desirable but not essential (e.g.
ESMA, SEC, CFTC etc.).
The Director's primary duties will be:
Project delivery: You will work as a core member of the delivery team for client projects, this includes the ability to work independently and to lead a team.
Each project will be different, typically involving understanding and analysing issues, project management, stakeholder engagement, document reviews, client interviews, process walk-throughs, developing solutions and drafting reports.
Sales: Lead and support in business development activities, such as attending client sales meetings (often as part of a bid team), drafting proposals for potential engagements and drafting presentations for introductory pitch meetings.
Additionally, we would expect Directors to utilise and develop their own network of industry contacts to generate sales opportunities.
Team building: Act as a leader in the team and support consultants and senior consultants in their career development.
Additionally, you will be encouraged to build internal and external relationships, contributing to an open, collaborative working environment and to the identification and delivery of cross service line engagements.
Thought Leadership: Directors play a crucial role in building the brand of FTI Consulting and the Regulatory Risk Management team by developing and contributing to interesting and thought-provoking collateral, and by designing, organising and participating in industry events.
Basic Requirements
Degree level or equivalent experience.
5+ years' experience working in the financial services sector and advising on UK financial services regulation, either within a regulated institution, regulatory body, consultancy or legal profession.
Strong written and verbal communications skills.
About FTI Consulting
What makes us unique?
With more than 7,000 employees located in offices in every corner of the globe, we are the firm our clients call when their most important issues are at stake.
Regardless of what level you are, you will have the opportunity to work alongside and learn from top experts in your field on high-profile engagements that impact history.
Our culture is collaborative, and we value diversity, recognition, development and making a difference in our communities.
FTI Consulting is publicly traded on the New York Stock Exchange and has been recognized as a Best Firm to Work For by Consulting magazine and one of America's Best Management Consulting Firms by Forbes .
For more information, visit and connect with us on Twitter (@FTIConsulting), Facebook and LinkedIn.
FTI Consulting is an equal opportunity employer and does not discriminate on the basis of race, color, national origin, ancestry, citizenship status, protected veteran status, religion, physical or mental disability, marital status, sex, sexual orientation, gender identity or expression, age, or any other basis protected by law, ordinance, or regulation.
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