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Client Director - Compliance - London

Compliance / Legal / HR
Ref: 378 Date Posted: Wednesday 22 Nov 2017
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Role                        Client Director – Compliance- City Markets

Salary                     £100 000

Location                London – some UK travel

Our client is a specialist compliance consultancy providing regulatory compliance support to PRA and FCA regulated firms in the banking, capital markets, asset management, payments, credit and insurance sectors.  In addition to the advisory side, they have a strong RegTech presence too.

This is where you come in as they need a Director of the ‘City Markets’ team.  You could either be an established consulting manager, or an experienced consultant looking to take your career to the next stage.               

The Role

§  Leading a small consultancy team managing a substantial income base

§  P&L responsibility for the city markets team, managing resources and profitable growth

§  Managing resourcing and client delivery on a day to day basis, ensuring delivery of the highest possible standards

§  Maintaining high levels of client relationships, working directly with clients to establish their needs, and making appropriate proposals to satisfy those, and leading the project team through to completion of those projects

§  Providing advice and demonstrating the highest levels of technical expertise directly to clients and in support of the team to the wider client base

§  Maintain a strong awareness of the role of technology within regulation and can identify key RegTech sectors

§  Maintaining market leading levels of technical expertise across primary investment sectors:  capital markets, fund management, discretionary management, retail investment

§  Working with the broader management team to develop new services and take them to market

Your background

If you have some of the following then please call:

§  A minimum of 10 years commercial financial services experience, with at least five years hands-on compliance experience and a minimum of three years within an established consultancy

§  Outstanding consultancy skills, with the ability to define client delivery processes and action projects to high standards for all routine compliance assignments: gap analysis/compliance audit, project/change management and the definition of fit for purpose compliance/risk/governance frameworks

§  Direct exposure to some or all of capital markets, asset management, discretionary management and advisory, for both retail and professional clients.  Other sectorial knowledge will be beneficial

§  Very aware of the current FCA rulebook, with the ability to interpret, apply and communicate these in a wide range of commercial situations

§  Appropriate professional qualifications are highly desirable, which might include any of: ACA, ACCA, LLM, MBA and / or industry qualifications

§  A good network of industry and regulator contacts

§  Sees the role of technology in regulation and supports clients in their use of it

§  A natural communicator and relationship manager.   Ability to engage with clients, establish their needs, make proposals and deliver the project, managing resourcing and client expectations at all times

§  Strong people management and coaching skills, with the ability to lead and develop a team

§  A robust understanding of commercial budgeting processes and high financial awareness

§  A highly professional approach, excellent communication and time management skills and strong attention to detail


Please contact Harris on 020 7101 2801 / 07779048077 or email your CV to