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Compliance Officer

  • Location:

    New York

  • Sector:

    Compliance

  • Salary:

    $220,000 - $275,000

  • Contact:

    Jackson Baker

  • Contact email:

    jackson@rutherfordsearch.com

  • Contact phone:

    + 332 256 0135

  • Job ref:

    BAJC1_5

  • Published:

    11 months ago

  • Expiry date:

    2023-10-09

​Our Client

Our client, a leading mid-market private equity firm, is looking for its first compliance hire in the United States. The firm currently manages c. £12bn of assets.

Main Duties

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

  • Develop and manage the US compliance program

  • Work closely with the European team and Chief Compliance Officer on new initiatives within compliance

  • Review and approve external marketing and distribution efforts

  • Provide advice to internal and external stakeholders on regulatory/compliance issues

  • Conduct regular reviews on compliance policies and manuals

  • Provide training to the wider business

  • Conduct core compliance monitoring, e.g. personal trade monitoring, gifts & entertainment, etc.

Your Profile

  • Previous compliance experience within an alternative investment firm preferred

  • Previous SEC regulation knowledge is required. FCA/European knowledge would be beneficial.

Basic salary range: $220,000 - $275,000

For more information about this position, please get in touch with Jackson Baker.
Email: jackson@rutherfordsearch.com
Phone: +1 332 256 0135

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, New York and China. 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.