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Compliance Officer

  • Location:


  • Sector:


  • Job type:


  • Contact:

    Oisin O'Regan Doherty

  • Contact email:

  • Contact phone:

    020 3778 0309

  • Job ref:


  • Published:

    about 1 year ago

  • Expiry date:


​Our Client

Our client, a global alternative investment manager, is seeking a Compliance Officer to join its Investment Compliance team in London.

Main Duties

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

  • Ability to provide guidance to the firm’s investment functions on the proper interpretation and application of regulatory requirements.

  • Wall-crossings and market soundings that relate to the treatment of inside information and market abuse;

  • UCITS and AIF investment and borrowing powers;

  • Investment-related conflicts of interest management

  • Expert network review and approval.

  • Detailed analysis and application of new regulatory requirements that impact the firm’s investment activities.

  • Assisting Compliance Manager in ad hoc projects.

  • Executing any regulatory developments impacting the firm’s investment functions.

  • Intermittent presentations to investment professionals to ensure that they remain up to date on regulatory developments

  • Providing thematic training to the firm’s investment functions.

In addition, all members of the team are involved in the following:

  • Maintaining, updating and executing the compliance policies and procedures manual;

  • Assisting the business in the development and maintenance of robust control procedures;

  • Making sure that issues identified by compliance monitoring reviews are addressed, and that controls are implemented to reduce the risk of reoccurrence.

  • Representing Compliance in relation to fund and product launches.

Your Profile

  • 3-5 years experience within Compliance, preferably with a focus on investment compliance

For more information about this position, please get in touch with Oisin O'Regan Doherty.
Phone: 020 3778 0309
Reference Code: 11548

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.​