Our client, a multi-strategy hedge fund with global offices, is currently looking for a Compliance Analyst to join its London team. The role will report into the firm's Compliance Officer.
The Compliance Analyst will be supporting the Compliance Officer with all areas of monitoring and surveillance work to evidence compliance with FCA rules/principles, EU rules and, where applicable, SEC regulation.
Conduct of Business rules relevant to the investment management process (transaction record keeping, transaction reporting, etc.)
Substantial shareholder and net short disclosure requirements
Code of Ethics/conflicts of interest; personal account dealing, gifts and entertainments, outside business interests
Approved Person registration, fitness and propriety checks
Application of Anti-Money Laundering and Anti-Corruption Policies
Oversight of information barriers
Monitoring of upcoming UK or EU regulatory issues
About 2-4 years of buy-side experience in Compliance at a top-tier firm
Solid grounding in FCA rules and regulations
Ability to manage and prioritise multiple tasks and understand a wide variety of issues
The ability to think in a highly analytical manner, with significant attention to detail
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 across the United Kingdom who would be interested in working for London firms on an interim WFH 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.