Our client, a leading global investment management firm, is currently seeking a Head of Compliance for its London office.
The successful candidate will be in charge of developing and managing the firm's compliance programs in the UK and in Europe, as well as its procedures and policies for financial crime.
Key responsibilities for this position will include, but are not limited to:
Developing and maintaining policies and procedures which will ensure compliance with regulatory obligations
Actively collaborating with the firm's other departments in directing compliance issues through appropriate channels for investigation and resolution
Identifying potential areas of compliance vulnerability and risk
Managing the compliance manual and drafting compliance policies and procedures
Creating and maintaining an effective compliance communication program for the business
Overseeing and administering PA dealing as well as marketing material review
Essential for this position: previous experience within asset management
A strong understanding of UK legislation, MiFID II, UK and EU Money Laundering Directives, Investment Firm Prudential Regulations and Guidelines on Anti-Money Laundering
Previous exposure to the FCA
Solid experience in risk management and an understanding of risk management models
For more information about this position, please get in touch with Tevia Kretzmer.
Phone: 020 3778 0852
Reference Code: 11550
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.