Our client, the global investment arm of a US-based financial services organisation, is currently seeking a Senior Compliance Advisor for its London office. The core purpose of the role will be to provide a robust compliance framework to the firm's Europe and APAC activities.
There will also be an important focus on executing the firm's Compliance programme, more specifically around employee conduct and central compliance activity.
Key responsibilities for this position will include, but are not limited to:
Advising and guiding the business in relation to compliance issues
Providing assistance with developing and maintaining compliance policies in relation to employee conduct and central compliance programme
Supporting the creation, enhancement and completion of necessary monitoring programme
Assisting the Compliance team with staff training
Taking part in compliance ad hoc projects as required
Supporting the maintenance of the SMCR framework for the firm's entities
2 - 3 years of experience in Compliance for an investment management firm, and more specifically experience in relation to code of ethics programme and employee and central compliance
Proven track record in engaging and delivering on key change initiatives - this is essential for this position
Previous experience in taking on monitoring reviews and performing control oversight
Sound knowledge of financial markets and regulations in the UK and Europe
For more information about this position, please get in touch with Tevia Kreztmer.
Phone: 020 3778 0852
Reference Code: 11506
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.