Our client, an established financial services technology firm, is seeking a compliance officer to join their rapidly growing team, based in London.
The successful candidate will provide support to the General Counsel, whilst reporting to the Chief Compliance Officer.
The candidate must be flexible enough to accommodate liaison with overseas offices.
Key responsibilities for this position will include, but are not limited to:
Draft compliance policies, approve marketing documentation, oversee MiFIR reporting and review regulatory documents.
Compliance monitoring and oversight of regulated activities against FCA requirements.
Assist with the monthly compliance MI collation and reporting.
Maintain compliance registers and compliance files.
Assist with the production of relevant compliance policies and procedures.
Carry out timely filing of relevant regulatory filings - CPO, PQR
Monitor client’s regulated activities including market abuse surveillance and MiFIR T+1 reporting
MiFIRT + 1 reporting experience
Experience/exposure at an Investment Bank or Asset Manager in the Compliance or Operations Departments
Knowledge of products e.g. Equities, Fixed Income, Derivatives, FX Credit, Rates
Paralegal or legal qualifications
For more information about this position, please get in touch with Jack Merriott.
Phone: 020 3778 0846
Reference Code: 11567
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.