Senior Consultant - Regulatory Change - Investment Management
- Support regulatory change management for investment managers by helping establish and execute end-to-end regulatory change processes (e.g., horizon scanning, regulatory rule requirement applicability and assessment, impact assessments including rule, technology and data analysis, implementation planning, implementation and ongoing monitoring).
- Learn how to identify, evaluate, and prioritize business, operational, regulatory, and technology risks, including how new or amended regulations translate into business requirements, controls, and operating procedures.
- Help clients understand and respond to key regulatory and industry developments affecting investment management (e.g., rules impacting advisers/funds, trading and markets, disclosures, governance, recordkeeping, data, and third parties).
- Support the development of regulatory change artifacts and governance, such as regulatory inventories/obligation registers, change calendars, impact assessment templates, implementation plans, policy/procedure updates, training communications, and management/SteerCo (steering committee) readouts.
- Support regulatory remediation and exam readiness efforts by helping gather and organize evidence, document decisions/rationale, and strengthen audit trails supporting compliance with regulatory obligations.
- Engage with industry participants on market and regulatory trends, competitive activities, and topic-specific discussions impacting investment management, including clients, industry consortiums, trade groups, and committees.
- Bachelor's degree.
- 3+ years of experience in financial services or consulting with exposure to investment management (asset managers, wealth managers, hedge funds, private equity, fund administrators, custodians, or related service providers).
- Demonstrated knowledge of investment management regulatory compliance and/or risk management, including familiarity with how regulatory requirements translate into policies, procedures, controls, and supervisory frameworks.
- Experience supporting regulatory change initiatives, including one or more of the following:
- Regulatory horizon scanning and applicability assessments
- Impact assessments across products, clients, entities, processes, and systems
- Requirements definition and translation into controls and operating procedures
- Implementation planning, dependency management, and delivery tracking
- Change communications, training, and adoption support
- Testing/validation and evidence management for audit/exams
- Understanding of investment management operational functions (e.g., trade operations, investment accounting, performance and attribution, reconciliation, collateral management, and middle-/back-office processes) and how regulatory change impacts these areas.
- Strong project/program management skills, including the ability to manage multiple priorities and deadlines, proactively escalate risks/issues, and maintain delivery discipline across workstreams.
- Strong oral and written communication skills, including the ability to support or lead business proposal development and sales presentations.
- Limited immigration sponsorship may be available.
- Ability to travel up to 75%, on average, based on the work you do and the clients and industries/sectors you serve.
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