Head of Compliance jobs
Sometimes called Head of Compliance, sometimes Chief Compliance Officer (CCO), the individual sitting in this role is typically responsible for the entire compliance and risk function within a firm. The Head of Compliance will also usually advise appropriate internal committees on risk management and compliance activities.
The Chief Compliance Officer will also oversee compliance with laws, regulatory requirements, policies and procedures for a given firm.
Usual Key Duties
As the Subject Matter Expert, establish standards an implement procedures
Ensure compliance programs are effective and efficient within the organisation
Advise the business and senior management on all regulatory obligations and procedures required to ensure compliance with these obligations
Build trusted relationships with regulators and the firm's senior management team
Design monitoring programmes
Oversee and design the training of internal teams on compliance matters: provide appropriate training to ensure that everyone is made aware of their regulatory responsibilities
Constantly promote a positive compliance culture
Conduct AML risk assessments of existing or potential clients, then make recommendations to management
If required by the firm, attend committees such as the Governance and Risk Committee or the Audit Committee
Ensure efficient and effective implementation of all new compliance policies
Manage a team (depending on the size and structure of a firm)
Assume the SMF16 or SMF17 function (depending on the size and structure of a firm)
Develop compliance policies and procedures for the firm
Usual Required Skills
Strong leadership skills
Extensive regulatory experience
Strong policy knowledge, if required
Team management experience
Ability to design and implement improvements to processes, procedures and frameworks
Strong time management
Strong prioritisation skills
Compliance is the departmental embodiment of an organisation's moral compass. It is tasked with protecting a business and its stakeholders, both internally and externally. This regulatory leader must internalise conflicts and exercise supreme judgement in balancing the need to allow its business to flourish in an increasingly complex regulatory environment, whilst avoiding the potentially devastating consequences of non-compliance. Rutherford understands the seriousness of all Compliance hires: that is why we are specialists in the space. We know that deep market knowledge, relationships and networks are all vital to recognising that elusive cultural fit when we see it.
Latest jobs in Compliance
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2 days ago
Compliance Associate
New York
$90,000 - $140,000
Our ClientRutherford are partnered with a boutique multi-strategy hedge fund looking to grow their compliance team following the success...
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9 days ago
Compliance Officer
London
Our ClientOur client, a UK-based exchange, is currently seeking a Compliance Officer to join its London office. Reporting into the Head ...
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9 days ago
Chief Compliance Officer
Chicago
$175,000 - $225,000
Our ClientA global multi-strategy asset management firm ($1tn+ AuM) is looking to introduce a Head of Compliance into their Private Inves...
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9 days ago
Chief Compliance Officer
Boston
$175,000 - $225,000
Our ClientA global multi-strategy asset management firm ($1tn+ AuM) is looking to introduce a Head of Compliance into their Private Inve...
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11 days ago
Compliance Officer
New York
$160,000 - $220,000
Our ClientA newly established and growing fund focusing on global macro strategies ($5bn+ AuM) is looking to introduce a Compliance Offic...
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11 days ago
Compliance Officer
Luxembourg
Our ClientRutherford Search have been mandated on an exciting opportunity for a Compliance Officer to join an alternative investment firm...
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23 days ago
Senior Compliance Officer
London
Our clientRutherford have been mandated on a fantastic opportunity to join our global hedge fund client’s Compliance team, who are respon...
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24 days ago
Head of Compliance
New York
$150,000 - $250,000
Our ClientOur client, a global multi-strategy asset management firm ($1tn+ AuM) is looking to introduce a Head of Compliance into their P...
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24 days ago
Vice President, Compliance
New York
$200,000 - $220,000
Our ClientRutherford has been exclusively mandated on a compliance search for a multi-strategy hedge fund ($10bn AUM). They invest across...