Our client, a global hedge fund, is looking for a Compliance Officer based in London to provide wide-ranging support to the senior compliance leadership team, with a particular focus on central compliance initiatives. The role will report into the Head of Operations Compliance.
Ensuring that the CMP accurately reflects and tests for the compliance risks
Ensuring that staff comply with relevant Compliance Policies and Procedures
PA Dealing approval and monitoring
Gifts approval and monitoring
Conducting Best Execution monitoring on a regular basis, including interaction with investment personnel to resolve any execution issues identified
Identification and monitoring of other conflicts of interest
Responsibility for maintaining compliance files in accordance with the UK/EU regulations, maintaining all requisite registers
Carrying out CDD/KYC checks for new funds and counterparties, where applicable
Market Soundings - treatment of inside information and the maintenance of the Restricted List
Be familiar with and assist with market conduct monitoring
Undertake bespoke project work to enhance the Compliance Monitoring Programme
Key Skills and Experience
Educated to degree level or equivalent in a relevant subject such as Legal
Background and understanding of the asset management industry would be beneficial
Experience in analytical report writing and production of management information
Exposure working in a regulated environment
A focused, proactive, goal-orientated team member
Self-starter with strong analytical and problem-solving skills
Clear and concise communicator
For more information about this position, please get in touch with Tevia Kretzmer.
Phone: 020 3778 0852
Reference Code: 11229
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.