Our client, a fast-growing multi-strategy investment firm, is currently looking for an EMEA Chief Compliance Officer to help build out and further enhance their compliance function.
The Chief Compliance Officer will serve as the lead compliance individual for both their asset management and market making business. The firm is going through an exciting phase in their lifecycle, having grown over 100% in the last 12 months. Both their strategies are focused on digital assets.
Key responsibilities for this position will include, but are not limited to:
Develop, implement and maintain a best-in-class compliance framework and monitoring program
Advise the various business lines on regulatory matters around; trading, product approvals and business related matters.
Assist in the analysis and interpretation of applicable laws and regulations, and assist in the monitoring of any legal developments requiring changes
Perform and supervise compliance testing of the adequacy of the company’s compliance program and policies, and help remediate any issues identified
Provide timely and accurate compliance guidance in a fast-paced environment, including the review of IR/marketing documents (e.g,, due diligence questionnaires, risk disclosures)
Oversee the preparation, submission and maintenance of the firm’s regulatory filings.
Manage internal compliance examinations and monitor the remediation of any issues identified
7 - 10 years of experience working in a fast-paced environment. Ideally from a market-maker, hedge fund/asset manager or investment bank
SMF16/17 is a benefit. Digital assets knowledge is preferred
For more information about this position, please get in touch with Jackson Baker.
Phone: 020 3778 0771
Reference Code: 11584
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 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.