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Compliance Associate

  • Location:

    City of London

  • Sector:


  • Job type:


  • Contact:

    Jackson Baker

  • Contact email:

  • Contact phone:

    020 7870 7409

  • Job ref:


  • Published:

    about 1 month ago

  • Expiry date:


​Our Client

Our client, a leading global private equity firm with over $100bn AuM, is looking for a Compliance Associate in their London office. The position will join a small team and work across UK, Europe and US matters.

Main Duties

Key responsibilities for this position will include, but are not limited to:

  • Provide day-to-day regulatory advice on compliance and financial crime matters

  • Help maintain and update key documents including policies, procedures, risks/conflicts assessments, SYSC documents, ICARA and monitoring plans

  • Coordinate wall crossings, conflicts checks, and internal trading restrictions

  • Conduct MiFID II trade and transaction reporting reconciliation work

  • Advise employees on individual compliance requirements, including personal dealings, outside activities and gifts and entertainment

  • Facilitate KYC checks on transaction counterparties and conduct monitoring of sanctions lists, adverse media, criminal, checks through a third-party platform

  • Assist with the preparation of regulatory filings, including AIFMD Annex IV reporting

  • Partner with global testing teams to conduct periodic monitoring of EU/UK activities

  • Assist with compliance assurance matters and examination readiness

  • Support Irish and Luxembourg AIFM risk and compliance teams as necessary

Your Profile

  • 1-4 years of compliance experience, ideally within a buy side firm

  • Educated to a degree level

For more information about this position, please get in touch with Jackson Baker.
Phone: 020 7870 7409
Reference Code: 11400

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.