Our Client
Our client, an investment advisor working with asset managers, are looking for a Compliance/Operating Manager to join their London office. This is a great opportunity to join a small, entrepreneurial team with plenty of room for growth. The experienced candidate must handle all compliance responsibilities and business operations, whilst working alongside the COO to set up a new entity within Europe.
Main Duties
The successful candidate will be expected to carry out full compliance responsibilities after 6-12 months of working with the support of out-sourced compliance advisors (including SMF16/17 in the UK, and similar reporting responsibilities for the MIFID entity)
Key responsibilities will include, but are not limited to:
Handle formal compliance responsibilities (including SMF16/17 in the UK and MIFID entity)
Take responsibility for all aspects of SMCR
Manage the ongoing compliance function for the MIFID entity
Ability to project-manage the establishment of the MIFID entity in Europe
Oversee broad operational responsibilities
Manage and document sensitive business processes
Capability to manage specific compliance related projects
Manage the application for MIFID permissions
Your Profile
6+ years minimum relevant industry experience
Educated to degree level
Experience in FCA’s SMCR regime, Conduct Rules, IFPR
Good understanding of AML, UCITS Funds, ESMA guidelines & MIFID II compliance regulations
Strong background and knowledge of industry standards
Strong attention to detail and excellent organisational skills
For more information about this position, please get in touch with Octavian Donnelly.
Email: octavian@rutherfordsearch.com
Phone: 020 3778 0874
Reference Code: 11412
About Rutherford
Rutherford is a boutique search firm located in London and New York. 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.
