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Senior Compliance Officer

  • Location:


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  • Salary:


  • Contact:

    Orla Crowe

  • Contact email:

  • Contact phone:

    020 3778 0843

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  • Published:

    11 months ago

  • Duration:

    12 months

  • Expiry date:


​Our Client

Our client, one of the UK’s leading wealth management firms, is looking for a motivated Senior Compliance Officer with a strong understanding of thematic reviews and strategic projects to join their team.

This is a 12-month FTC and will sit within their assurance team, reporting directly to the Head of Assurance.

Your Profile

  • Strong compliance assurance/ monitoring within wealth management.

  • Experience of thematic reviews/ deep dive, drafting reports based on findings and making recommendations

  • Candidates must be comfortable presenting to Senior Managers within the business.

  • A fraction of the role includes providing advice and guidance to the business as well as strategic projects.

Your Knowledge

  • Good knowledge and understanding of the applicable regulatory requirements and the FCA handbook.

  • Previous experience of a Wealth Management Business is required.

  • Thorough understanding of the 3 Lines of Defense Model and the pertinent Risk & Control expectations.

  • Strong communication / interpersonal skills.

  • Candidates must be capable of using their own initiative and can work both on a team and independently.

Salary for this position: £55,000 - £65,000. Hybrid working available with the option to work from home 3 days a week.

About Rutherford
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance, financial crime, legal and cyber security recruitment, 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.