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Compliance Advisory Officer

  • Location:


  • Sector:


  • Job type:


  • Contact:

    Jack Merriott

  • Contact email:

  • Contact phone:

    020 3778 0846

  • Job ref:


  • Published:

    16 days ago

  • Duration:

    6 months

  • Expiry date:


​Our Client

Our client, a leading London-based asset management firm, is currently looking for a Compliance Advisory Offier to join its Fund Risk and Compliance Advisory team. This is a 6-month fixed-term contract (FTC).

Applicants for this position should have Compliance Advisory experience as well as Distribution and Financial Promotions.

Main Duties

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

  • Reviewing and investigating reported incidents

  • Liaising with depositaries relating to breaches or any other investment restriction monitoring queries

  • Providing Compliance input to regulatory and business projects

  • Participating in or coordinating responses to requests from regulators and other parties as requested

  • Providing input from the Compliance department into RFPs

  • Assisting with the review of all marketing collateral and other documentation (financial promotions)

Your Profile

  • Experience in Compliance Advisory, preferably within the asset management sector

  • Knowledge in UCITS asset and markets eligibility

  • Sound knowledge of front office and dealing operations

  • Sound understanding of UK and EU marketing rules and familiarity with SEC requirements beneficial though not essential

  • Educated to a degree level and professional qualifications beneficial

For more information about this position, please get in touch with Jack Merriott.
Phone: 020 3778 0846
Reference Code: 11377

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.