Our client, a global alternative investment firm with c. $100bn in AuM, is currently looking for a Compliance Analyst to join its London office. The Compliance Analyst role is a key position, playing an important role in continuing to build the firm's compliance function.
The Compliance Analyst will be a key member of the compliance function, providing wide-ranging support to the senior compliance leadership team with a particular focus on central compliance initiatives. The successful candidate will also be supporting business unit focused compliance officers.
To contribute to the drafting and implementation of policies, procedures and monitoring requirements
To support the Team Lead in the provision of regulatory advice to UK business lines - liaising with outside counsel for legal advice when necessary
To assist in implementing compliance manuals, policies and procedures
To support the execution of the compliance monitoring program in the United Kingdom
To carry out the e-comms surveillance program
To assist with the preparation and filing of submissions to the FCA and other regulators
To provide support in the delivery of compliance training to the business
To work on regulatory projects to support new business strategies
To promote the compliance and regulatory risk management culture within the firm
University qualification in Law and/or Financial Regulation. Further legal training beneficial.
1-3 year's experience in compliance within financial services
Great technical skills across core compliance areas
Ability to challenge independently and in a constructive manner
An organised approach and the ability to successfully manage projects
Sound judgment and ability to know when to escalate matters
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.
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.