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Compliance Advisory Officer

  • Location:

    City of London

  • Sector:


  • Job type:


  • Contact:

    Jackson Baker

  • Contact email:

  • Contact phone:

    0207 870 7409

  • Job ref:


  • Published:

    about 1 month ago

  • Expiry date:


​​Our Client

Our client, a leading institutional asset manager, is currently seeking a Compliance Advisory Officer to join its Legal and Compliance team in London, UK. The role presents a fantastic opportunity to join an already existing team of compliance and legal professionals which provides advice to the various business divisions of the firm.

As Compliance Advisory Officer, you will be supporting the head of the team in providing qualitative compliance advice to all business units and ensuring that regulatory issues are dealt with in an appropriate manner.

Key Duties

Duties will include, but are not limited to:

  • Liaise and provide advice to front-office on regulatory matters, including the application of the firm's compliance policies and eligibility of instruments within portfolio;

  • Guarantee a level of consistency globally by liaising and working with global counterparts in the US and APAC;

  • Support the firm's operational functions on regulatory issues;

  • Spearhead specific compliance initiatives;

  • Active contribution in the creation of management reporting, and communicate compliance matters to senior management and board;

  • Deliver compliance training to members of staff;

  • Anticipate new regulation, assess business impact and provide advice to senior management

Your Profile

  • A minimum of 10 years' experience within a control function in asset management or investment banking

  • Demonstrable track record in influencing internal client base through timely, credible and value-added advice

  • Expertise and knowledge with regulatory environment and a genuine desire to further develop such knowledge

For more information about this role, please get in touch with Jackson Baker.
Phone: 0207 870 7409

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

Remote Working

We are currently looking for regionally-located Compliance professionals from across the United Kingdom who would be interested in working for London firms on an interim WFH basis: Kent, East Sussex, Essex, Cambridgeshire, Suffolk, Bedfordshire, Buckinghamshire, Hertfordshire, Oxfordshire, Berkshire, Wiltshire, Surrey or Hampshire.

We are also interested in hearing from candidates in Manchester, Birmingham, Oxford, Winchester and Salisbury.