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Compliance Officer

  • Location:

    London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Tevia Kretzmer

  • Contact email:

    tevia@rutherfordsearch.com

  • Contact phone:

    020 3778 0852

  • Job ref:

    KRT11644_1

  • Published:

    about 1 month ago

  • Expiry date:

    2022-11-25

​Our Client

Our client, a global investment and advisory firm with c.$5bn AUM, are seeking an experienced Compliance Officer to join their London office.

Reporting into the Chief Compliance Officer, you will assist in discharging all regulatory and compliance aligned duties for the business.

Main Duties

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

  • Assist the Chief Compliance Officer with the daily coverage of the firm’s global compliance requirements including regulatory reporting and the compliance monitoring programme;

  • Managing business queries relating to reviews of non-binding legal documents, marketing materials and regulatory or policy matters;

  • Adept at reporting into the Board and facilitating project / business initiative working groups;

  • Participating in investor due diligence presentations covering compliance and governance;

  • Responsible for key initiatives and day-to-day compliance related projects;

  • Participating in strategic and/or regulatory projects, process improvements, policy writing and driving the firm’s wider compliance agenda;

  • Keeping abreast of regulatory matters and analysing the impact on the business and other legal entities;

  • Conducting risk assessments.

Your Profile

  • A university degree in a relevant field;

  • 5+ years’ relevant experience gained working in a relevant industry, preferably asset management;

  • Strong experience in developing and executing a compliance monitoring framework. Policy writing for various jurisdictions as well as providing training to new joiners and other members of staff

  • Extensive experience in regulatory reporting, marketing and distribution rules and regulatory and compliance requirements in multiple jurisdictions, including regulatory applications.

For more information about this position, please get in touch with Tevia Kretzmer.
Email: tevia@rutherfordsearch.com
Phone: 020 3778 0852
Reference Code: 11644

About Rutherford

Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance recruitment, and 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.