Our Client
Our client, a web-based portfolio management and investment management firm based in Greenwich, Connecticut (United States) is currently looking for a Compliance Analyst to join their compliance team.
Key Duties
The Compliance Analyst will play a key role in the compliance function, providing wide-ranging support to the firm's Compliance team.
Key duties include, but are not limited to:
Assist in developing and implementing an effective legal compliance programme
Create sound internal controls and monitor adherence to them
Draft and revise company policies
Proactively audit processes, practices and documents to identify weaknesses
Evaluate business activities (e.g. investments) to assess compliance risk
Set plans to manage a crisis or compliance violation
Educate and train employees on regulations and industry practices
Address employee concerns or questions on legal compliance
Keep abreast of internal standards and business goals
Work closely and effectively with the Head of Compliance
Compensation for the role can be up to $130K depending on experience.
Requirements
2-4 years of compliance experience
Background from buy-side and alternative firms, ideal though not required
Great oral and written communication skills
An can do, roll up your sleeves attitude
An entrepreneurial mindset
Great attention to detail
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.
