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Compliance Analyst

  • Location:

    City of London

  • Sector:


  • Job type:


  • Contact:

    Alexia Brodie Cooper

  • Contact email:

  • Contact phone:

    0207 183 0070

  • Job ref:


  • Published:

    23 days ago

  • Expiry date:


Our Client

Our client, a web-based portfolio management and investment management firm, is currently looking for a Compliance Analyst to join its London based team. This role presents an exciting opportunity to join a dynamic, challenging and supportive environment.

Reporting into the Chief Compliance Officer, the Compliance Analyst will focus on drafting documents and identifying and reviewing regulatory requirements. This role will also provide support to the General Counsel.

Key Duties

  • Provide support to the Compliance and Legal departments with their daily activities

  • Draft compliance policies, review regulatory documents as well as marketing documentation

  • Perform compliance monitoring and oversight of the firm’s regulated activities as per the FCA’s requirements

  • Provide assistance with the compliance MI collation and report insights to the Executive Committee

  • Maintenance of compliance registers and files

  • Prepare first drafts of legal documents and agreements

  • Perform company secretarial duties

Your Experience

  • Knowledge of a large array of products – equities, fixed income, derivatives, etc.

  • Paralegal or other legal qualifications desirable

  • Strong academic background with a minimum of an upper second degree from a Russell Group University

  • Paralegal experience

  • Experience working at an investment bank or asset manager in the compliance or legal department

Your Profile

  • Strong attention to detail

  • Great communication skills, both written and verbal

  • A self-starter with a can-do attitude

  • A team player

  • Resilience to work in a demanding environment

  • Strong interpersonal skills

  • Demonstrable interest in the financial services industry and compliance

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.

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 working from home basis: Kent, East Sussex, 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.