CISI Graduate, Regulatory Consulting - January 2020
graduate job
Expires16 days

CISI Graduate, Regulatory Consulting - January 2020

Job description

Joining as a graduate you’ll be the future of the firm. To ensure you succeed we’ll provide the training and support you need, coupled with the responsibility and autonomy to allow you to grow. You’ll work with experienced professionals and face the kind of challenges that turn smart graduates into confident accountants. In addition to a competitive salary and flexible benefits, you’ll receive full study support towards gaining your CISI qualification. We provide the opportunities you take them.

Reporting to an assistant manager, manager, or senior manager, you will assist the director and partner with meeting the annual business and growth plans as set out and agreed.

You will be specifically tasked with supporting the Regulatory Consultancy team with the provision of regulatory services to a range of clients, providing support on project delivery, assisting with ad hoc queries and questions as they arise from both internal staff and clients.

The role will be one of a generalist, offering you the opportunity to grow your knowledge in a number of areas. You will be expected to undertake professional studies, working to complete the CISI Diploma in Investment Compliance (Level 6 Diploma).

You are expected to work with supervision, in addition to being capable of executing tasks semi-autonomously and working as part of a project team to meet required reporting deadlines, project milestones, and providing timely updates and communication to clients, stakeholders and the assignment leader(s).

You will be expected to undertake any other reasonable tasks as required by the managers, director and partner.

Core responsibilities

  • Keep up-to-date with changes to FCA rules and guidance in terms of key changes and ensure this is communicated effectively to all relevant parties, by way of briefings, emails and fact sheets
  • Provide support to the consultants in the team through participation in the following work
  • Reviewing financial promotions prepared by clients
  • Draft financial promotions on behalf of clients
  • Ensure compliance manuals are kept up-to-date, monitor programmes for necessary changes and report on any findings;
  • Assist senior staff with performing monitoring and reporting at clients’ premises
  • Produce written reports on remedial actions resulting from the monitoring programme and contribute to follow-up meetings with operational line managers
  • Assist with the preparation of FCA application packs, variation of permission notices and update of firms’ ICAAPs
  • Assist with work required under FCA risk mitigation programmes, firm systematic framework visits and s166 reviews
  • Assist in the preparation of internal and external courses to keep up to date with regulatory issues
  • Promote and develop the department when possible
  • Assist other members of the team with ad hoc questions on the FCA Handbook when required
  • Take responsibility for communicating and disseminating regulatory intelligence on a daily basis; and
  • Assist in the continual development of the Regulatory Consulting team through active contribution to the advancement of the proposition and the development of internal processes, systems and templates used in the delivery of client services by being one of the primary resources for the department’s retained services desk

Moore Stephens values diversity, and a diverse workforce is essential. You will experience a working culture that is inclusive, collaborative and supportive, to make sure that you reach your full potential and thrive in your career. We believe in teamwork and respect, and are committed to providing an environment that empowers your individuality.

What we are looking for

  • Willing to travel to clients (within London, nationally and potentially internationally)
  • Client focused; willing to go above and beyond to deliver timely, high standard client service
  • Demonstrates ethical behaviours at all times
  • Able to deal flexibly with work priorities and displays energy and enthusiasm; and
  • Sees the benefit of working outside of set hours to further their own career and help deliver on team objectives


  • Three A-levels, excluding general studies, at grade B (120 UCAS points), or equivalent, and a grade 2:1 or above in any undergraduate degree, or equivalent or:
  • A 2:1 or above in an undergraduate degree, or equivalent, listed as a ‘relevant field of study’ or:
  • A 2:1 or above in any undergraduate degree, or equivalent, and a merit or above in a master’s degree listed as a ‘relevant field of study’

Relevant fields of study

  • Accounting and/or finance
  • Any business focused degree (e.g. international business, business management, business studies and business analytics, business administration) only if combined with an accounting or finance module
  • Chemistry
  • Economics
  • Engineering
  • Maths
  • Medicine
  • Physics
  • Statistics
  • Any combinations of the above subjects e.g. economics and maths, but not economics and law

Accepted degree subjects


How to apply

Please note due to high volume of applications for our roles we reserve the right to close all vacancies earlier than the advertised date without notice. To avoid disappointment please apply as soon as possible.

If you require any adjustments to be made in order for you to submit your application please let us know.

Click Apply to start your application now. This job will be available on Prospects until 03/02/2019

Don't forget to mention Prospects to employers when you contact them.

Closing date: Continuous recruitment


Additional job details


Competitive salary

Working hoursFull-time

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