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Senior Compliance Officer

  • Location:

    City of London

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Tevia Kretzmer

  • Contact email:

    tevia@rutherfordsearch.com

  • Contact phone:

    020 3778 0852

  • Job ref:

    KRT11413

  • Published:

    4 months ago

  • Expiry date:

    2022-02-20

​Our Client

Our client, a leading global hedge fund, is currently seeking a Senior Compliance Officer to join its London-based office. Reporting into the Deputy CCO, the successful candidate will be assisting them with UK and EU compliance & regulatory matters.

You will provide guidance to the firm's investment staff in relation to the latest trading regulations, and help in maintaining a good compliance culture within the firm. You will also deliver all compliance training to staff members and proactively monitor all regulatory changes which are likely to affect business operations in the UK.

Main Duties

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

  • Creating a compliance framework for the firm in order to conduct thematic reviews

  • Execute the CMP (compliance monitoring programme)

  • Perform a gap analysis as well as compliance reviews on an annual basis

  • Spearhead all UK and EU long & short disclosures

  • Oversee disclosure monitoring as well as regulatory reporting

  • Keeping abreast of regulatory changes and their impact on the business, and update compliance policies as needed

  • Other daily compliance activities

Your Profile

  • A minimum of 7 years of experience in compliance

  • Educated to degree level

  • Previous experience with trade and non-trade compliance matters

  • A good understanding of different types of instruments as well as insider dealing rules and regulations

  • Desirable for this position: previous experience sitting on a trading desk

For more information about this position, please get in touch with Tevia Kretzmer.
Email: tevia@rutherfordsearch.com
Phone: 020 3778 0852
Reference Code: 11413

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 agency in London for a decade and are excited about bringing our expanded offering into the technology area.