Our client, a leading UK asset management firm, is currently looking for a Head of Compliance Advisory to join its London office. The successful appointee will be leading the risk and compliance advisory team and will advise the business on the design and effectiveness of their regulatory processes, policies and controls.
This is a fantastic opportunity to join the leadership team of a well-established firm within financial services.
Key responsibilities for this position will include, but are not limited to:
Advising the firm on its activities and regulatory projects, ensuring that they take into account regulatory rules and the firm's risk appetite
Maintaining a strong compliance culture within the firm and its different functions
Participating in and supporting Compliance training to staff members
Supporting the team with the Compliance system
Providing support to the firm's Compliance Monitoring team when it comes to monitoring reviews
Coordinating when required responses to requests from regulators
Taking part in client due diligence meetings when needed
Providing support in the new broker acceptance process, providing compliance input
Any other ad hoc compliance task as requested by the firm's Head of Risk and Compliance
Educated to a degree level
Strong track record in compliance advisory, ideally for an asset management firm
Professional qualifications would be beneficial for this position, though not essential
Previous leadership experience and stakeholder management
Strong understanding of UK and EU rules. A knowledge of SEC requirements would also be beneficial, though not essential for this position
An understanding of the MiFID framework
Knowledge of front office and dealing operations
For more information about this position, please get in touch with Jackson Baker.
Phone: 020 7870 7409
Reference Code: 11408
Rutherford is a boutique search firm located in London and New York. 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.