Thursday, 31 July 2014
Last updated 7 hours ago
Dec 8 2011 | 8:13am ET
The IMS Group, a UK-based compliance consultancy, has tapped Dominic Williams, Elisebeth Slater and Michael Strug as compliance consultants and Saira Farooq as a consultant on its regulatory transactions team.
Williams, who has 15 years’ experience in the financial services industry—13 in compliance roles—comes to IMS from J. Rothschild Capital Management where he served as the standalone compliance officer. In his new role at IMS, Williams will advise asset managers, private equity firms, hedge fund managers and other clients on compliance issues.
Slater comes to IMS from the Financial Ombudsman Service where she spent two years as an investment adjudicator. In her new role, she will be responsible for assisting consultants with the implementation and monitoring of client infrastructure.
Strug comes to IMS from GFT, a spread betting firm, where he worked mainly with institutional clients. Prior to that, he spent a year at the Financial Ombudsman Service. At IMS, his role includes assisting the consulting team in developing and executing compliance monitoring and supporting IMS’ clients with all aspects of FSA compliance.
Farooq, who will manage FSA applications on behalf of a range of start-up firms, previously worked at the London law firm, Barlow Lyde & Gilbert, specializing in professional and commercial disputes in the banking and financial sector.
Said IMS group chief executive Michel van Leeuwen in a statement: “The new consultants bring a wide variety of experience and skills to IMS and will be an important addition to the business. Regulatory challenges for investment firms are becoming increasingly complex and global, and IMS has adapted to accommodate for this, recruiting many skilled individuals to service the needs of our expanding client base over the past twelve months. We expect to continue our organic growth throughout 2012.”
Jul 8 2014 | 10:48am ET
The surge in derivatives regulation is among the most complex challenges facing the financial services industry today. Northern Trust’s Joshua Satten recently spoke with FINalternatives to share insights into the challenges presented by new regulation and explore how the industry is responding. Read more…