Our client, a leading global investment manager, is currently looking for a Compliance Associate to join its London office. The firm invests in a broad asset class spectrum, which includes hedge funds, real estate and private equity.
The successful appointee will be joining a small compliance team and be responsible of a broad range of compliance matters.
Key responsibilities for this position will include, but are not limited to:
Advising and guiding the business on regulatory and compliance matters as needed (MiFID II, AIFMD, SMCR, etc.)
Reviewing and signing off marketing materials
Providing advisory support on compliance matters in relation to the business' distribution activities in Europe
Analysis and interpreting regulatory developments
Providing assistance with the conduct of risk asessments, gap analysis, monitoring and testing
Overseeing and ensuring the submission of regulatory filings to the FCA
Maintaining the core compliance regulatory registers
Supervising some of the UK Compliance activities where appropriate
Providing assistance with the implementation and development of the business' compliance training program
A minimum of 3 years' experience in a broad compliance position, ideally within the wealth management or asset management space
A solid understanding of the regulatory environment
A good working knowledge of financial services regulation
A legal background would be advantageous for this position
For more information about this position, please get in touch with Alexia Brodie Cooper.
Phone: 020 7183 0070
Reference Code: 11318
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 exciting about bringing our expanded offering into the technology area.