Our client is one of the largest wealth managers in the United Kingdom. They are currently looking for a Senior Compliance Officer to join its fast-growing business for a 12-month FTC.
Key responsibilities for this position will include, but are not limited to:
Providing compliance advice and monitoring to support the investment management business
Assisting in the completion of the annual compliance monitoring programme
Advising on regulatory issues to line management and colleagues
Investigate and report on breaches, finding the appropriate resolution
Updating and implementing policies and procedures
Ad hoc projects
Training of trainees and the wider team
Strong academics, to university degree elvel
Generalist compliance experience within wealth management/investment management
Good knowledge of relevant regulatory requirements e.g. FSMA 200 and the FCA handbook
Strong interpersonal and communication skills
Salary for this position: circa £40,000 - £50,000
For more information about this position, please get in touch with Georgina Housden.
Phone: 020 3778 1252
Reference Code: 11606
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 professional services sectors in the United Kingdom and New York. We use our carefully curated relationships, network,s 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.