Regulatory Compliance Consultant (broker dealer / banking) recruitment

IMS supports more than 600 investment businesses, ranging from established global firms to start-ups. Our clients include many of the world's largest hedge fund managers, private equity firms, fund of funds managers, family offices and institutional pension fund managers.

Our Regulatory Compliance Consulting business is dedicated to providing compliance advisory services to our diverse client base and as part of our exciting growth and expansion plans we are looking to add a number of high quality Compliance professionals to our team.

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 compliance monitoring reviews onsite with clients, and subsequently write compliance monitoring reports

• Involvement in designing / running training courses

• Introduce other services of the IMS Group where relevant

• Build / develop client relationships

• Help develop the IMS offering

Key Skills / Experience:

• Proven track record within compliance

• 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 is highly advantageous

• Experience of monitoring and the ability to develop compliance monitoring programmes and techniques

• Strong advisory skill set

• Strong client facing ability

• Excellent oral and written communication skills

Experience required:

• Proven track record in compliance at a broker-dealer, investment bank or from the FSA with experience of supervising these type of firms

For this particular hire we are keen to talk to candidates who have gained compliance experience in a broker-dealer or investment banking environment. Whilst we may consider candidates from wholesale broking firms, it is the additional knowledge of the compliance surrounding prop trading that will set candidates apart.

If you feel that you meet our requirements and would be interested in joining a business that is recognised as a market leader, please forward your details for immediate consideration to giles.remmington@theimsgroup.co.uk or call on 0203 141 9635.