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Conduct & Compliance Senior Manager - Asset & Wealth Management

London, United Kingdom
Closing date
22 Sep 2023

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Accounting - practice
Salary band
Contract type
Full Time
Where will they be working
Hybrid - mostly office

Job Details

Risk is all around us and in our complex world, is changing all the time. Our teams bring people from diverse backgrounds together, using their skills and cutting-edge technology, to help solve complex problems. We are pioneers in a world of changing risk and our market leading services build resilient organisations. Join us and together, we can support our clients to rethink risk.The world of Risk and Regulation has been going through a period of fundamental change - it continues to evolve in a fast moving political and commercial environment as do the businesses it affects. We are working across the financial services sector with our clients dealing with the impacts and adaptations required - join us on the journey and be part of creating a new and relevant financial services industry.The Asset and Wealth Management Risk and Regulatory team has significant growth plans and is looking to expand its leading regulatory advice business. The team is looking for ambitious and dedicated candidates at Senior Manager level who have gained experience in the regulation of asset management and / or wealth management businesses. The successful applicant will assist the Partners and Directors expand our market offering, play a key role in strengthening our client relationships, and assist in the delivery of a range of interesting engagements. The applicant will have good knowledge of conduct regulation such as compliance arrangements, Consumer Duty, SM&CR and governance, front office controls and the FCA regulatory framework. The applicant may have worked for a regulator, a consultancy or in industry.
  • Leading teams on engagements by being a key contact for clients, as well as being responsible for day-to-day liaison and building meaningful relationships with clients;
  • Assisting the Partners and Directors design and then take our solutions to the marketplace;
  • Developing opportunities and winning new business, through marketing and sales activities and continuous client relationship programmes with senior client staff;
  • Taking responsibility for the conduct of reviews and preparation of reports; making oral presentations of findings/recommendations to client management team(s);
  • Supporting technical analysis being a 'subject matter expert' in aspects of FCA conduct regulation;
  • Networking with clients, prospective clients and internally across PwC;
  • People development, mentoring and coaching, including management of client facing teams;
  • Taking responsibility for developing a broader capability with additional talent, as the business allows.

  • Knowledge and experience of the asset management sector, including a strong understanding of risk and capital management processes and procedures;
  • Technically proficient in the conduct aspects of the FCA regime as it applies to asset and wealth management firms including the Consumer Duty;
  • Experience in providing regulatory consulting advice to both established companies and new entrants either inhouse, at a regulatory body or a consultancy;
  • Positive and proactive attitude, with the ability to adopt an agile approach;
  • Demonstrate the ability to form strong relationships, make new contacts, listen to their needs and interpret this to identify new opportunities to assist them;
  • Drive and determination to win new work, build our reputation and expand our service offerings to our clients; and
  • Excellent communication (both written and oral) skills


Our values define how we do things. And our purpose is why we exist - now more than ever - to build trust in society and solve important problems for our clients and our communities. In a world we no longer recognise, we need to rely on the strength and agility of our people to help us to navigate these uncertain times.

We're committed to ensuring that care and our people's wellbeing remains central to our culture. While we may not know what’s ahead, we can do all we can to help shape the future. As we continue to navigate this unprecedented time, it’s important that we support our people, to help them take care of themselves and to ensure the right support is available when it’s needed.

For now, we ask you to join our talent network and stay in touch with what’s happening in real time, including new possibilities as they arise. Visit our website for more information on how we’re responding to this pandemic and what changes we’re making to our recruitment process. 

Stay safe and stay connected in this rapidly changing world.


Opportunities are at the heart of a career with us.   Opportunities for you to sharpen your skills, collaborate with experts, build lasting relationships and make an impact in a place where people, quality and value mean everything.

Our offer to you...

·         Be part of the world’s leading professional services network and enjoy the benefits that come with that.

·         Meet and collaborate with highly talented people from diverse backgrounds, developing new ways of thinking, creating value for you, for PwC and for our clients.

·         Work in a challenging and stimulating environment where you’ll be inspired to reach your full potential.

·         Identify and develop your skills, build on your existing strengths and discover new ones you didn’t know you had. Watch your expertise and influence grow with us.


The PwC deal

No matter which area of the business you choose to join, all offer the same deal.  The opportunity to grow as an individual, to meet new people, and build lasting relationships that will stay with you for life.  All whilst making an impact in a place where people, quality, and value, mean everything.  Your hard work will be rewarded with a competitive salary and a personally tailored benefits package.


What you need to bring to us

Your intellect, willingness to learn, ability to build relationships, put yourself in others’ shoes, while always making a positive impact with our clients and each other.

The skills, insights and connections you develop at PwC are career defining wherever your career may take you. It’s the opportunity of a lifetime. Take it.



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