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 for this role will be to support and assist the firm's global Compliance departments (UK, Europe and APAC) in building a strong compliance framework. The successful candidate will be focusing on the execution of the Compliance programme around the firm's new Fixed Income dealing desk.
Key responsibilities for this position will include, but are not limited to:
Advising and guiding the firm on regulatory and compliance issues as needed
Developing and maintaining compliance policies that cover fixed income dealing
Maintaining the policy tracker and working alongside senior compliance members of staff with the annual review of the design effectiveness of compliance policies
Keeping abreast of regulatory changes and communicating them internally
Tracking and maintaining a log of emerging regulatory changes
Coordinating the regulatory reporting
Performing monitoring activities such as fixed income trading activity, transaction reporting, e-communications, CASS and suitability and client classification
Providing assistance is various ad hoc compliance projects and initiatives as needed
Delivering compliance training to members of staff
Educated to a degree level
4-5 years of experience in a Fixed Income Advisory function
For more information about this position, please get in touch with Tevia Kretzmer.
Phone: 020 3778 0852
Reference Code: 11472
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.