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Compliance Analyst

  • Location:

    Connecticut

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Ali Hughes

  • Contact email:

    ali@rutherfordsearch.com

  • Contact phone:

    +1 332 256 0130

  • Job ref:

    HUA11438_8

  • Published:

    17 days ago

  • Expiry date:

    2022-10-08

​Our Client

Our client, a boutique hedge fund with circa $5bn in AuM, is currently looking for a Compliance Analyst to join their Connecticut office.

Main Duties

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

  • Providing assistance with the daily surveillance of portfolio compliance

  • Conducting compliance testing and reviews

  • Liaising with other functions to review marketing materials Monitoring Code of Ethics

  • Providing assistance in external audits and other types of compliance enquiries

  • Providing assistance with reviewing and testing policies and procedures

  • Overseeing the preparation of the business' regulatory filing obligations

  • Preparing third party due diligence with other staff members

  • Performing other compliance ad hoc projects as required​

Your Profile

  • About 1 - 4 years of experience in financial services within a legal or compliance function, preferably for an asset manager or hedge fund

  • Educated to a degree level

  • An understanding of the Investment Advisers Act of 1940 and Investment Company Act of 1940 would be beneficial for this position

  • A knowledge of personal trading compliance systems

For more information about this position, please get in touch with Ali Hughes.
Email: ali@rutherfordsearch.com
Phone: +1 332 256 0130
Reference Code: 11438

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