Principal Consultant - Capital Markets Regulatory Initiatives

The Principal Consultant - Capital Markets Regulatory Initiatives at Capco is responsible for delivering risk management and regulatory projects within the capital markets space. This includes managing mid-sized projects, building relationships with clients, developing project plans, and ensuring successful delivery while exceeding client expectations.

Capco seeks candidates with at least 8 years of experience in risk management and regulatory compliance within capital markets. A strong understanding of regulations from the SEC, CFTC, and FINRA, alongside relevant industry experience, such as in securitized products and securities lending, is also essential.

In the Principal Consultant role, you engage directly with client program sponsors to align on project goals and strategies, manage relationships, and drive initiatives that enhance regulatory compliance. By delivering thoughtful, high-quality insights, you ensure that your clients navigate the complex regulatory landscape effectively.

The work environment at Capco is collaborative and entrepreneurial. As the largest financial services consultancy globally, you’ll thrive in a culture that encourages innovation, diversity, and growth, with minimal bureaucracy allowing individuals to take ownership of their roles.

Capco is committed to the career development of its consultants. As a Principal Consultant, you will have access to mentorship, opportunities to lead thought leadership initiatives, and the chance to impact project delivery and client engagement, all aiming for rapid learning and growth.

In your response, focus on specific projects you've led, the challenges faced, and how you ensured compliance with regulatory mandates. Highlight your approach to stakeholder engagement and the outcomes achieved.

Discuss resources such as industry publications, regulatory agency releases, workshops, and networking with fellow professionals. Emphasize your proactive approach to continuous learning in an ever-changing regulatory environment.

Provide a specific example where your insight led to additional client services. Detail how you assessed client needs and positioned the additional offering, enhancing client satisfaction while generating revenue.

Address your communication style, including regular updates and feedback loops, and focus on fostering transparency and trust. Mention how you adapt your strategies based on individual client needs.

Give examples of networking techniques and relationship management strategies, such as active listening, understanding client business goals, and maintaining open communication channels throughout all stages of project delivery.

Discuss tools or methodologies you use, like Agile or project management software, to track tasks and deadlines. Mention specific criteria you consider when determining prioritization related to client impact.

Use the STAR method (Situation, Task, Action, Result) to narrate a detailed experience from a challenging project, focusing on how you navigated complexities and delivered successful outcomes.

Talk about your quality assurance processes, including establishing clear criteria for success and obtaining regular client feedback to ensure alignment with their expectations throughout the project lifecycle.

Discuss your belief in teamwork's importance in consulting. Highlight specific examples of collaborative success and strategies you’ve implemented to encourage a team-oriented culture.

Mention your research techniques, understanding client pain points, and how you engage with thought leadership initiatives that position you and Capco as industry experts while addressing client needs.