Director, Risk & Regulatory Due Diligence - Financial Services Advisory

Park House, London
Functional areas


Director, Risk & Regulatory Due Diligence

Alvarez & Marsal


Alvarez & Marsal (“A&M”) is a global consulting firm with more than $2+ billion in revenues, c.7,500 staff and over 70 offices world-wide. We offer a broad range of professional services including Restructuring, Transaction Advisory, Performance Improvement, Corporate Transformation, Financial Institutions Advisory, Tax, Valuations, and Disputes and Investigation Services.

At A&M, we believe in the power of diverse teaming to solve complex problems, create value and drive change for our clients. We are a global market leader, and we are differentiated as a firm by our professionals’ unique, varied backgrounds that allow us to serve our clients across the globe with both a practical and innovative approach.

A&M FSI works with leading Financial Services Institutions across Europe and our expertise revolves around four core areas: Performance Improvement, Loan Portfolio Advisory, Bank Restructuring and Regulatory Advisory. We work with clients across the financial services space and focus on banks, private equity investors, regulatory authorities, insurers, wealth and asset managers and other specialised Financial Services firms.

A&M’s professionals work on some of the world’s most high-profile cases in a rapidly transforming financial services landscape, striving for game-changing solutions that provide impactful long-term change. Drawing on extensive expertise in risk and regulatory, our team of senior ex-regulators and industry practitioners provide practical and credible strategies to adapt to a complex regulatory landscape where decisions are based on judgment rather than rules.

Our FSI team is expanding, and an opportunity exists at the Director level to support our growing Risk & Regulatory Transaction Advisory team. The ideal candidate will have a successful track record of leading end-to-end Risk & Regulatory Transaction Services including pre-deal regulatory due diligence, post-signing Change in Control, Regulatory Business Plan development, and post-deal implementation of diligence findings and regulatory feedback. Other projects can include, implementing new regulations, transforming systems, processes and policies, and helping clients remediate adverse regulatory findings / manage intense regulatory scrutiny.

Our clients are corporate and private equity financial institutions, where the regulatory perspective is central to business-critical judgement. The Director will be actively involved in developing the Transaction Advisory service line and they will be an integrated part of the Risk & Regulatory team. They will reflect the operational distinctiveness that is A&M; a business savvy, solution-focused business entrepreneur who is determined to make a difference and not afraid to challenge the status-quo.

The successful candidate will proactively build networks with clients, professionals, regulators and wider A&M business units. They will also have an entrepreneurial approach and a network across the financial services community. They will be seen as a trusted advisor in this specialist space.

Examples of client-related activities include:

  • Regulatory due diligence engagements including leading stakeholder engagement
  • Regulatory Business Plans for Change in Control applications & designing & implementing remediation plans for post-deal implementation
  • Expert guidance & interpretation of regulations & their impact strategy, revenue streams & wider business issues
  • Create benchmarks for best practice and proportionate regulatory implementation across sector groups
  • Lead regulatory change and remediation programmes for target firms post acquisition

Ideally, an A&M Director will be able to successfully identify client needs and win client trust. The successful appointee will be recognised by the client as the lead for value contributed on engagements and therefore build his/her own credible network of contacts and referral sources with clients, professionals and institutions. Supported by the wider European FSI team, the successful candidate will build the profile and reputation of A&M in the specialist area of Risk & Regulatory due diligence.

Example of business development activities include:

  • Build a network of contacts & referral sources with clients and regulators
  • Develop internal A&M networks across financial services, operational and diligence teams
  • Prepare quality proposals and develop and lead pitches


  • Extensive experience of the Financial Services sector is essential, particularly in relation to UK regulatory expectations in conduct, prudential and financial crime risk and other relevant areas. This experience may have been gained in a Financial Institution, a Consultancy / Advisory firm or Regulatory body
  • Previous experience providing regulatory due diligence, regulatory business plans for a change in control/variation of permission/authorisation applications and advising on regulatory feedback to the Change in Control submission is highly desirable
  • A high-grade degree from a top tier university
  • A strong consulting toolkit including how to frame a business issue, judiciously find and use internal and external data to test hypotheses and draw conclusions, business model using Excel, structure and write PowerPoint and Word presentations and reports
  • Well-developed stakeholder management skills including addressing complex technical risks and issues and managing key client relationships and expectations
  • Clear ability to deliver the latest thinking within a highly competitive advisory marketplace

Desirable experience

  • Hands-on experience working closely with or directly within a regulator (e.g. PRA /FCA in supervision or authorisations/CiC teams or an EU equivalent) or consulting firm
  • Knowledge of recent or pending UK and EU regulatory initiatives
  • Additional qualification levels (such as MSc or MBA)
  • Additional European languages are desirable

Diversity & Inclusion

A&M’s entrepreneurial culture celebrates independent thinkers and doers who can positively impact our clients and shape our industry. The collaborative environment and engaging work—guided by A&M’s core values of Integrity, Quality, Objectivity, Fun, Personal Reward, and Inclusive Diversity—are the main reasons our people love working at A&M. Inclusive Diversity means we embrace diversity, and we foster inclusiveness, encouraging everyone to bring their whole self to work each day. It runs through how we recruit, develop employees, conduct business, support clients, and partner with vendors. It is the A&M way.

Equal Opportunity Employer

It is Alvarez & Marsal’s practice to provide and promote equal opportunity in employment, compensation, and other terms and conditions of employment without discrimination because of race, color, creed, religion, national origin, ancestry, citizenship status, sex or gender, gender identity or gender expression (including transgender status), sexual orientation, marital status, military service and veteran status, physical or mental disability, family medical history, genetic information or other protected medical condition, political affiliation, or any other characteristic protected by and in accordance with applicable laws. Employees and Applicants can find A&M policy statements and additional information by region here .

Unsolicited Resumes from Third-Party Recruiters

Please note that as per A&M policy, we do not accept unsolicited resumes from third-party recruiters unless such recruiters are engaged to provide candidates for a specified opening and in alignment with our Inclusive Diversity values . Any employment agency, person or entity that submits an unsolicited resume does so with the understanding that A&M will have the right to hire that applicant at its discretion without any fee owed to the submitting employment agency, person or entity.

Job information

Firm: Alvarez & Marsal

Location: Park House, London