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Equities Advisory Compliance Director

  • Location:


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  • Job type:


  • Contact:

    Jonathan Skerrett

  • Contact email:

  • Contact phone:

    020 3778 0891

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  • Published:

    3 months ago

  • Expiry date:


​Our Client

Our client is a leading global investment bank. They seek a Compliance Advisory Manager to join their team in London. You will have responsibility for Compliance activities relating to the equities markets businesses. Product experience in equities (cash and derivatives) would be beneficial, but the business will also consider applicants with experience from FICC backgrounds.

Main Duties

Key responsibilities for this position will include, but are not limited to:

  • As Compliance Manager, you will build and maintain relationships with the business, as well as support and control functions. Be able to manage those relationships in a professional manner to maintain Compliance independence.

  • Assess new business proposals versus pertinent laws and regulatory requirements including coordinating with global Advisory Compliance teams where required.

  • Advise the business and other internal stakeholders regarding interpretation and implementation of new regulatory developments/requirements.

  • Provide real-time advice to the business regarding proposed transactions in a timely manner.

  • Creation and review of Advisory Compliance policies and procedures.

Your Profile

  • Solid understanding of equities markets, products and business practices.

  • Demonstrated ability and product knowledge as a Compliance Advisory Officer in a previous role, from a bank or broker-dealer.

  • To be a self-starter who is able to identify potential areas of risk and be comfortable approaching the business to discuss as required.

  • Strong knowledge of major industry regulations such as MiFID II, EMIR, MAR.

  • Be familiar with relevant industry standards and statements of good practice, particularly the Global Codes.

  • Experience of working in either UK/European or US markets.

For more information about this position, pleas get in touch with Jonathan Skerrett.
Phone: 0203 778 0891

About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are 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.