Rutherford has been exclusively mandated on a search for a well-regarded IFA who offer pension, investment management and estate planning advice to their clients. The client is a small family-run business who have more than doubled in size in the last couple of years.
As part of their continued expansion, they are seeking a Compliance Officer to be responsible for all compliance matters, so there is a fair amount of autonomy and responsibility in this role. A fantastic work/life balance is on offer, with only 1 day a week in the London office required.
Key responsibilities for this position will include, but are not limited to:
Responsible for the management of all Governance, Risk and Compliance policies and procedures
Provide Compliance subject matter expertise and support to the firm and its employees
To monitor any changes in FCA an other regulations, asses their impact and provide guidance on any business change requirements
To review client files to confirm suitability and good consumer outcomes and adherence to regulatory and Company requirements and identify and require remedial action from member firms where necessary
Be responsible for conducting Training and Competence supervisor activities in line with agreed Training and Competence Plan
Considerable generalist regulatory compliance experience and ability to be the go-to person for compliance matters
Strong investments knowledge, ideally along with pensions and protection knowledge
Good knowledge of FCA rules and regulations
Retail Financial Advice, Wealth Management Compliance proficient including Compliance Monitoring
Analytical thinking, attention to detail and ability to work under the pressure of strict deadlines
Salary: flexible depending on experience, circa £50,000 - £60,000 + bonus
For more information about this position, please get in touch with Georgina Housden.
Phone: 020 3778 0846
Reference Code: 11356
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.