Our client, a UK-headquartered and rapidly-growing Venture Capital firm with a strong technology focus is looking for a SMF16/17 to join its London office. The firm is planning to gain authorisation and is seeking an experienced Compliance professional to help drive the strategic vision of the business. Holding the functions currently would be preferred but is not essential.
The role will be working closely with the senior management in developing a leading Compliance function across the Group.
Key responsibilities for this position will include, but are not limited to:
Primary responsibility for Compliance matters across the group
SMF16 and SMF17 responsibility
Oversight and development of the Group's Compliance Monitoring Programme
Compliance Policy Ownership and Reviews
Supporting regulatory initiatives
Support for marketing materials review processes and standards
Ownership of Conflicts of Interest register
Oversight of Core Compliance Processes
Strong educational background with a university degree
Experience in having held both SMF16/17 would be preferred, although not essential
Strong technical ability and commercial awareness
Ability to challenge independently and proactively
Effective communicator, both in writing and orally
Proven track record in managing teams
For more information about this position, please get in touch with Tevia Kretzmer.
Phone: 020 3778 0852
Reference Code: 11431
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.