Our client, a British investment bank, is currently looking for an Advisory Compliance Officer to join its London office. Reporting into the Head of Compliance and joining a dynamic team of four (4) compliance professionals, the successful candidate will ensure the firm's regulatory compliance with daily client-facing matters.
Key responsibilities for this position will include, but are not limited to:
Ensuring that the firm's template contracts and T&Cs comply with the relevant regulatory requirements
Alongside the firm's Head of Compliance, liaising with AIM, UKLA and FCA on regulatory matters
Overseeing the firm's Corporate Financial Manual and procedures
Spearheading file reviews to ensure they are compliant with regulatory requirements
Overseeing new corporate clients' AML documentation
Compliance advisory experience
At least 3 years of experience in a similar position
Previous compliance advisory experience
Experience liaising with AIM
Salary for this position is up to £70,000.
For more information about this position, please get in touch with Alexia Brodie Cooper.
Phone: 020 7183 0070
Reference Code: 11530
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and also in financial crime, legal and cyber security, all within the financial and professional services sectors in the United Kingdom and New York. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area.