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Regulatory Conduct Manager

  • Location:


  • Sector:


  • Job type:


  • Salary:


  • Contact:

    Georgina Housden

  • Contact email:

  • Contact phone:

    020 3778 1252

  • Job ref:


  • Published:

    about 1 year ago

  • Expiry date:


​Our Client

​Our client, a leading global consultancy, is looking for a Manager to advise financial services clients.

This is a fantastic opportunity to lead on key complex projects and play an instrumental role in developing new and existing client relationships, whilst developing junior members of the team.

Main Duties

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

  • Managing a portfolio of clients, and advising them on their compliance with regulatory requirements

  • Supporting the delivery of s166, FCA authorisations, reg due diligence etc

  • Keeping abreast of regulatory changes and advise how this will affect your clients e.g IFPR and Appointed Representative Regime

  • Business development – grasping new business opportunities for up selling/cross selling to existing clients and building new client relationships

  • Oversight of the work of juniors

  • Representing at client meetings, networking event and conferences​

Your Profile

  • Strong compliance advisory experience within financial services, preferably the investment management/ brokerage sectors

  • Preferably educated to degree level and a member of a recognised professional body e.g CISI

  • Knowledge of the FCA handbook (COBS, FUND, SYSC, RAO etc) Strong ability to influence and manage stakeholder/ client relationships/ team members

  • Demonstrable commercial acumen

  • Excellent communication and interpersonal skills

Salary: circa £60,000 - £80,000 + benefits depending on experience

For more information about this posiiton, please get in touch with Georgina Housden.
Phone: 020 3778 1252
Reference Code: 11574

About Rutherford
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.