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Compliance Specialist

  • Location:


  • Sector:


  • Job type:


  • Contact:

    Jackson Baker

  • Contact email:

  • Contact phone:

    +1 (332) 256-0135

  • Job ref:


  • Published:

    about 1 month ago

  • Duration:

    6 Months

  • Expiry date:


​Our Client

Our client, a leading asset manager, are seeking a Compliance Specialist to join their London team on a 6-month contract.

The successful candidate will support the Compliance Officer in all aspects of compliance.

Main Duties

  • Bloomberg AIM– pre and post trade investment guidelines coding, checking and approval

  • Review marketing materials, factsheets, RFPs, website content etc.

  • Assist in the preparation of Regulatory Returns to the FCA, SEC, OSC, FSB and other regulators

  • Preparation of stock exchange substantial holdings reports and requests from Companies/Issuers

  • Maintenance of compliance records

  • Knowledge of financial crime

  • Assist with the maintenance of the AML and customer due diligence procedures

  • Screening for sanctions, HM Treasury Lists, PEPS, Higher risk accounts

  • Awareness and familiarity with AML Regulations – JMLSG, FATF, HM Revenue & Customs, UK Bribery Act. Knowledge of Irish AML Regulations would be advantageous

Your Profile

  • 5 years + experience within the asset management/hedge fund industry

  • Degree in compliance / legal or business studies

  • Ability to use Bloomberg and other systems such as Advent APX, Salesforce, GBG sanctions checking tools

  • Knowledge of UK, US and EU financial services regulations and financial crime regulations and laws

  • IMC advantageous

For more information about this position, please get in touch with Jackson Baker.


Phone: +1 (332) 256-0135

Reference Code: 11573

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 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.