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Compliance Analyst

  • Location:

    New York

  • Sector:

    Compliance

  • Job type:

    Permanent

  • Contact:

    Jackson Baker

  • Contact email:

    jackson@rutherfordsearch.com

  • Contact phone:

    0207 870 7409

  • Job ref:

    BAJ11192_3

  • Published:

    about 1 month ago

  • Expiry date:

    2021-07-18

​Our Client

Our client, a global multi-strategy hedge fund with circa $18bn AuM, is looking for a Compliance Analyst to join its New York office. The firm focuses on a range of strategies within a wide range of assets such as equities, credit and commodities.

Key Duties

As Compliance Analyst, you will join the Legal and Compliance tam and will be supporting the firm's US and UK branches with its proactive approach to legal and compliance matters. Main duties will include, but are not limited to:

  • Implement the firm's compliance monitoring programme

  • Propose and implement changes and enhancements to the CMP

  • Assist with the compliance annual review

  • Maintain compliance registers

  • Lead and run the compliance training program

  • Responsible of the approval and monitoring of personal account securities transactions

  • Provide regular advice to members of staff on core compliance matters

  • Perform due diligence of third party service provider relationships

  • Spearhead the compliance regulatory calendar and related matters

  • Produce reporting for the Legal and Compliance team, as well as senior management

  • Act as the representative and ambassador of the compliance function within the firm by building solid relationships across the business ​

Your Profile

  • Minimum of 2 years' experience in a compliance function for an asset manager, hedge fund or bank

  • Experience in surveillance and regulatory submissions

  • Knowledge and understanding of SEC requirements

  • Sound judgment: knows when to escalate matters to the firm's Head of Compliance

About Rutherford

Rutherford is a boutique search firm located in London and New York. 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.