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Compliance VP Trade & Transaction Reporting

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Octavian Donnelly

  • Contact email:

    octavian@rutherfordsearch.com

  • Contact phone:

    020 3778 0874

  • Job ref:

    DOO11224

  • Published:

    almost 3 years ago

  • Expiry date:

    2021-07-11

​Our Client

Our client, a leading global asset management firm, is currently seeking an experienced Vice President to join their Trade and Transaction reporting function in their London offices. This role is a combination of BAU as well as change management and holds responsibility for check and challenge against the regulatory operations team in house.


Main Duties

Key duties will include, but are not limited to:

  • Advise on key regulatory implementation projects;

  • Work with Legal and Compliance colleagues to translate regulatory requirements into documented guidance;

  • Advise impacted business areas on changing regulatory requirements and on the design of required controls enhancements;

  • Work with Legal and Compliance functions in implementing ex-post testing and verification of the outputs from business process;

  • Participate in global and/or regional Compliance initiatives to ensure global consistency, implement new requirements and ensure best practices;

  • Support the Head of the team and global counterparts in providing qualitative compliance advice to all business units impacted by regulatory reporting;

  • Liaise with internal business units to provide advice and support to business operations functions on regulatory reporting matters.

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Your Profile

  • Strong EMIR, MiFiR and SFTR knowledge. Knowledge and experience of CSDR and CSSF regulation also an advantage.

  • Excellent knowledge of either equity, fixed income and/or derivative asset classes

  • 5+ years of financial services experience with a focus on compliance and regulation

  • Educated to degree level, possibly with a professional qualifications (ACA, CFA, etc.)

  • Strong working knowledge of FCA, MiFID, CBI and CSSF Rules and other EMEA regulatory requirements

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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.

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Remote Working

We are currently looking for regionally-located Compliance professionals from across the United Kingdom who would be interested in working for London firms on an interim working from home basis: Kent, East Sussex, Essex, Cambridgeshire, Suffolk, Bedfordshire, Buckinghamshire, Hertfordshire, Oxfordshire, Berkshire, Wiltshire, Surrey or Hampshire.


We are also interested in hearing from candidates in Manchester, Birmingham, Oxford, Winchester and Salisbury.

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