Our client is a London-based middle and back office services provider, employing over 40 people. With circa $17bn AuM, the firm services about 15 funds with varying structures, strategies and asset types.
The Compliance Analyst position will be the third member of the team, reporting to the Director, Risk and Compliance.
This will be a varied role, covering all areas of compliance, according to the demands and needs of a busy department. In particular, the individual is likely to cover some or all of the following:
Completion of daily tests, including:
Shareholding positions, for possible market disclosure
Investment Mandate adherence
Restrictions and Exposures Monitoring
Restricted List Monitoring.
Performing elements of the Compliance Monitoring Programme, which includes the monitoring of operations, trading and best execution.
Preparation and submission of regulatory reports to FCA and SEC, including Annex IV, Form PF (Advise Technologies), Gabriel returns, Form ADV etc.
Maintenance of Order Management System’s (Eze Software) Compliance Module rules and procedures.
Maintaining new joiners/leavers files and Training & Competence files. Preparation of approved persons forms and update of approved persons records accordingly.
Maintaining PA trading records, Gifts Logs, error logs etc.
Review and sign-off of Financial Promotions.
Assisting the Compliance Director in preparing regulatory reports to the FCA and SEC.
Assisting the Director in meeting the AIFMD risk management requirements.
Administration, including preparation and maintenance of the Compliance policies and procedures.
Regulatory Research to assist the Compliance team (inc. FCA, SEC, ESMA, Shareholding Disclosure requirements and any other local regulatory requirements impacting the business).
Undertaking KYC and due diligence activity, as required.
Replying to S.793 notices and other regulatory request for disclosure.
Ideally the candidate should have professional qualifications, and/or be degree-educated.
The successful applicant would ideally have experience of UK financial services compliance, in an asset management or funds environment.
Detailed experience of use of Order Management Systems is required, including the writing and maintenance of rules for the compliance aspects of an OMS.
Knowledge of AIFMD Risk Management requirements and processes.
Knowledge and experience of regulatory reporting, especially Annex IV and Form PF.
Attention to detail, very good analytical skills and a pro-active, hard working and positive attitude is a must as the Compliance Analyst will be working in a time-critical environment.
A high standard of straightforward mathematics is essential, including effective use of Excel spreadsheets, and candidates will be tested on these skills during the interview process.
Good knowledge of financial promotion rules and use of language, and candidates will be tested on these skills during the interview process.
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.
We are currently looking for regionally-located Compliance professionals from the following areas who would be interested in working for London firms on an interim working from home 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.