Compliance Consultant (Investment Bank/Inter Dealer Broker experience) recruitment
Our Regulatory Compliance Consulting business is dedicated to providing compliance advisory services to our diverse client base and as part of our growth plans we are looking to add a sell-side compliance specialist to our team. This experience is likely to have been gained in an Investment Banking or Inter Dealer Broker environment.
Key Responsibilities:
• Provide clients with responsive regulatory advice and solutions
• Update clients on regulatory change and how it impacts their business
• Draft manuals and other compliance documentation for clients
• Set up relevant compliance infrastructure for clients
• Carry out regular onsite reviews, and write follow up reports
• Involvement in designing / running training courses
• Build / develop client relationships
• Help develop the IMS offering
Key Skills / Experience:
• Proven track record within compliance gained at an Investment Bank, Inter Dealer Broker or from the FSA with experience of supervising these types of firms
• Ability to implement solutions to address the regulatory requirements of the client
• Sound knowledge of the FSA handbook
• Knowledge of ICAAP and capital adequacy requirements - not essential but advantageous
• Experience of monitoring and the ability to develop compliance monitoring programmes and techniques
• Strong advisory skill set with the ability to deal effectively with clients
• Excellent spoken and written English
This is a priority hire so please forward your details for immediate consideration to giles.remmington@theimsgroup.co.uk or call on 0203 141 9635.