Senior Associate, Risk Consulting (capital Markets Compliance)

RSM UK

Base: $73,500 - $139,700; bonus: discretionary bon...
Broker-dealer or fcm/ib compliance experience
Sec finra cftc nfa regulatory knowledge
Internal audit or control function background
The role involves assessing and strengthening compliance programs for banks and financial institutions regarding BD and FCM/IB regulations

Job Summary

  • The role involves assessing and strengthening compliance programs for banks and financial institutions regarding BD and FCM/IB regulations.
  • Candidates will participate in independent testing, audits, and the development of corrective action plans for enforcement actions.
  • RSM offers a competitive compensation package including a discretionary bonus based on performance and flexibility in scheduling.

Matching Summary

The role involves assessing and strengthening compliance programs for banks and financial institutions regarding BD and FCM/IB regulations.

Salary

Base: $73,500 - $139,700; Bonus: Discretionary bonus based on firm and individual performance; Benefits: Competitive benefits package with schedule flexibility

Skills & Requirements

Must-have

  • Broker-Dealer or FCM/IB compliance experience
  • SEC FINRA CFTC NFA regulatory knowledge
  • Internal audit or control function background
  • Experience with compliance program design
  • Strong verbal and written communication skills

Nice-to-have

  • Ability to exercise independence of judgement
  • High ethical standards and client service focus
  • Organizational and time management skills
  • Relationship building with financial clients

Key Requirements

  • Two+ years of BD/FCM/IB compliance experience
  • Bachelor's degree in a related field
  • Prior regulatory body work experience preferred
  • Relevant certifications (CRCM, CIA, securities registrations) preferred
  • No sponsorship available for entry-level candidates

Work Rights

Not specified

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