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Compliance Associate

  • Location:


  • Sector:


  • Job type:


  • Contact:

    Tevia Kretzmer

  • Contact email:

  • Contact phone:

    020 3778 0852

  • Job ref:


  • Published:

    23 days ago

  • Expiry date:


​Our Client

Our client, a global investment firm with c.$250bn AUM, is looking for a Compliance Associate/Officer to join their London office.

The role presents a fantastic opportunity for an experienced Compliance professional to join one of the world’s top Private Equity firms. The role will have responsibility for the ongoing monitoring, surveillance and reporting relevant to the firm as well as any project-related work that may be required.

Main Duties

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

  • Maintain, develop and execute compliance monitoring process

  • Support drafting of various compliance risk assessments and completion of risk reviews

  • Coordinate compliance engagement with auditors and external compliance consultants during annual audit and review processes

  • Conduct regulatory horizon scanning and prepare analysis on upcoming regulatory changes, make recommendations for action and potentially become the point person on specific regulatory areas

  • Oversee testing including on restricted lists, information barriers, market abuse and best execution

  • Manage the annual review process for senior managers and certified staff under SMCR

  • Complete regulatory application forms, notifications and preparation of period regulatory reporting

  • Assist in managing the review of marketing materials including interacting with investor relations professionals;

  • Research possible internal policy violations identified and recommend corrective action;

  • Provide firmwide compliance training at orientation

  • Manage day-to-day staff compliance queries such in relation to personal trading activity, gifts and entertainment, and outside business interests

Your Profile

  • 4-7 years’ relevant compliance experience is essential.

  • Bachelor’s degree preferred

For more information about this position, please get in touch with Tevia Kretzmer.
Phone: 020 3778 0852
Reference Code: 11566

About Rutherford
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.