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Head of US Compliance Advisory

  • Location:

    City of London

  • Sector:


  • Job type:


  • Contact:

    Jackson Baker

  • Contact email:

  • Contact phone:

    020 7870 7409

  • Job ref:


  • Published:

    about 1 month ago

  • Expiry date:


Our Client

Our client, a leading UK asset management firm, is currently seeking a Head of US Compliance Advisory to join its London office. Reporting into the Head of Risk and Compliance, the successful candidate will be providing compliance advise to the firm's US-regulated legal entities.

This is a fantastic opportunity to support a firm in its efforts to grow its presence in the United States.

Main Duties

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

  • Advising the firm's stakeholders on the impact of US financial regulations to business activities

  • Spearheading the coordination of Form ADV updates

  • Participating in the draft and publication of annual 206(4)-7 report

  • Reviewing and approving US marketing materials

  • Proactively liaise with external counsel in relation to regulatory filings

  • Perfoming US regulatory horizon scanning

  • Updating the firm's policy and procedure framework as well as the compliance manual and code of ethics​

Your Profile

  • SME in US asset management compliance

  • Sound knowledge in the application of the Investment Advisers Act 1940

  • Educated to a degree level

  • Strong understanding of distribution of US private funds as well as Regulation D and SEC's custody rule

  • Knowledge of CTA/CPO registration would be desirable, though not essential for this position

For more information about this position, please get in touch with Jackson Baker.
Phone: 020 7870 7409
Reference Code: 11410

About Rutherford
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.